Understanding an IB’s AML Program Requirements
Since April 24, 2002, NFA Compliance Rule 2-9(c) has required all NFA Member FCMs and IBs to have an anti-money laundering (AML) compliance program in place. At a minimum, the…
Common Mistakes, Introducing Brokers and AML Procedures
Most introducing brokers (“IBs”) view their Anti-Money Laundering (“AML”) obligations quite minimally but this can be a monumental mistake. Generally IBs believe their AML responsibilities are limited to ensuring a…
Overview of AML Policies and Procedures for Introducing Brokers
Federal law and NFA rules require Introducing Brokers to maintain an Anti-Money Laundering program implemented by written policies, procedures and controls. NFA provides a number of materials to help IBs…
Global Macro Economics Perspectives
In the United States, all eyes are on the Federal Reserve (Fed). There are three big questions. When and how fast will the Fed begin tapering its asset purchases (QE…
What Constitutes a Swap?
In a sense, introducing brokers act as gatekeepers to the futures and derivatives markets. Following the passage of the Dodd-Frank Act, certain OTC products which were formerly not regulated are…
Not a NIBA Member Yet? No Problem.
Are you planning on attending the NIBA fall conference in September, but youʼre not a member yet? No problem. You can join the Association when you register for the conference.…
Why Past Performance of a Conventional (60-40) Portfolio Is NOT Indicative of Future Performance: Part 2
As discussed in Part 1 of "Why Past Performance of a Conventional (60-40) Portfolio Is NOT Indicative of Future Performance", the results of a conventional 60-40 portfolio over the last…
MF Global Trustee to Boost Distributions to Ex-Customers
MF Global Inc.’s former customers should get “significantly” increased distributions in coming months, and the goal is still 100 percent recoveries, the failed brokerage’s trustee said. Customers who traded on…
MF Global Agrees to Pay Customers 100% to Settle CFTC Suit
Last week, CFTC and MF Global Inc. agreed to a settlement whereby MF Global Inc. would pay restitution to its former commodity customers to bring them to a 100% return…
NIBA Board of Directors Letter to Senate Committee
July 1, 2013 The Honorable Debbie Stabenow Chairwoman U.S. Senate Committee on Agriculture, Nutrition and Forestry 328A Russell Senate Office Building Washington, DC 20510 The Honorable Thad Cochran Ranking Republican…
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