GARP Chicago Chapter Meeting – May 2, 2024
Join the GARP Chicago Chapter for an exciting and insightful discussion about the intersection of AI and risk management. Details: May 2, 2024 4:30 PM - 7:30 PM Central Daylight Time (CDT)…
NIBA/DePaul University Annual Summer Symposium
Save the date! NIBA/DePaul University Annual Summer Symposium July 11 @ DePaul University, Chicago Downtown Campus AI -- Compliance, Communication, Application Registration Opens in May - stay tuned!
Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration
Notice to Members I-24-02 Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration January 29, 2024 The CFTC requires any person that…
July 10 2024 NIBA Compliance Officers’ Group Meeting
NIBA Compliance Officers Group Meeting: July 10, 2024 100 S. Wacker Dr., Ste. 250, Chicago, IL 60606 This program is free, but registration is required. Registration opens shortly. More info…
IFM Industry-Leading Training
Get Smart on essential aspects of futures trading market conduct and compliance with FIA-IFM’s industry-leading training. As a nonprofit educational foundation, we are in a unique position to collaborate with…
Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration
The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under CFTC Regulation 4.5 or an…
NIBA – Compliance Alert – NFA Recordkeeping Actions
Introducing Brokers are seeing the impact of the CFTC’s and NFA’s investigations into “off channel communications”. Since December 2021, the CFTC has imposed $1.117 billion in civil monetary penalties on…
NIBA – Compliance Alert – New Guidance on Future CFTC Enforcement Resolutions
The Commodity Futures Trading Commission (CFTC) Division of Enforcement recently released a new advisory to its staff related to penalties, corporate compliance monitors and consultants, and admissions in CFTC enforcement…
L&C 2024 – FIA’s Law & Compliance Division Conference
Register today for L&C 2024 - FIA's Law & Compliance Division Conference, taking place at the Gaylord National Resort from 24-26 April. Get up to speed on all the pressing…