Conquering Current Compliance Challenges
July 10, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
CPO/CTA NEWS & GUIDANCE
6/07/2019 | Content area: CPO/CTA
The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges present...
5/23/2019 | Content area: CPO/CTA
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore.   In a new enforcement settlement, Graham and his C...
5/16/2019 | Content area: CPO/CTA
There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator.   The Commission is proposing simp...
5/09/2019 | Content area: CPO/CTA
Think of it as a book you hope you never need to read. The CFTC’s Division of Enforcement has put out its 59-page enforcement manual. It offers everyt...
5/09/2019 | Content area: CPO/CTA
The NFA is reminding you that it has incorporated swaps and counterparties into seven existing compliance rules. The changes take effect July 1.   The...
5/02/2019 | Content area: CPO/CTA
The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm doesn’t have an ext...
5/02/2019 | Content area: CPO/CTA
It’s more than one year away when many hedge funds and other entities that engage in significant swap deals will have to begin to post and collect ini...
4/25/2019 | Content area: CPO/CTA
It took the CFTC three years after the SEC revised its rules regarding sending annual privacy notices to clients for the Commission to follow suit but...
4/18/2019 | Content area: CPO/CTA
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls notice. ...
4/11/2019 | Content area: CPO/CTA
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first enforcement acti...
4/11/2019 | Content area: CPO/CTA
Last November, the CFTC laid out a series of four priorities that would guide its enforcement program (CPO/CTA Watch, Nov. 21, 2018). Now, it’s readyi...
4/04/2019 | Content area: CPO/CTA
Late last year, the NFA sought to help CPOs design their compliance programs (CPO/CTA Watch, Dec. 13, 2018). The SRO’s interpretative notice for CPO i...
3/28/2019 | Content area: CPO/CTA
An unanimous vote greeted a new interim final rule from the CFTC last week that aims to bring “regulatory certainty” to an international swaps market ...
3/28/2019 | Content area: CPO/CTA
One side contends changing the swap dealer definition to permit banks to enter into transactions connected with loans to customers without registering...
3/28/2019 | Content area: CPO/CTA
2021 seems like a long time away but it can be on you faster than you think. The NFA’s reminding firms that its amended rule 2-24 (rules governing the...
3/28/2019 | Content area: CPO/CTA
After studying futures orders over the past six years, the CFTC concludes that more and more transactions are automated as opposed to manual and almos...
3/21/2019 | Content area: CPO/CTA
It’s not everyday an SRO objects to a rule proposal put forth by its regulator but the NFA is unhappy with the CFTC’s recent proposal to reduce burden...
3/14/2019 | Content area: CPO/CTA
One of the most important NFA rules is 2-9 (supervision). Now the SRO is amending it. For instance, the rule will not longer refer to the NFA’s “Compl...
3/14/2019 | Content area: CPO/CTA
The patience of the NFA has run out in regards to the El Segundo, Calif.-CPO Quants Capital Management and its former principal Gokhan Kisacikoglu. Th...
3/08/2019 | Content area: CPO/CTA
It’s a good idea to give yourself a calendar reminder before your firm’s NFA membership’s anniversary date.   That’s because, as the NFA reminds, CPOs...
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