Conquering Current Compliance Challenges
May 15, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: April 10, 2019 
  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
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...
2/28/2019 | Content area: CPO/CTA
With a March end deadline, much uncertainty exists about the aftermath of Brexit on financial services. U.S. and UK regulators have taken steps to red...
2/28/2019 | Content area: CPO/CTA
The recent government shutdown has slowed but not deterred harmonization efforts between the SEC and the CFTC.   “We’re making very good progress” tow...
2/14/2019 | Content area: CPO/CTA
If you’re with a CPO/CTA that claims an exemption from CFTC registration, be sure to re-affirm that exemption, if you still qualify for it, by March 1...
2/14/2019 | Content area: CPO/CTA
An inflation adjustment has been made to the CFTC’s monetary penalties in a new final rule from the Commission. The 2.6% annual increase raises the lo...
2/14/2019 | Content area: CPO/CTA
Six years after the SEC put out its first exam priorities’ list, the CFTC has followed suit with its inaugural release.   2019 Compliance Branch Exami...
2/07/2019 | Content area: CPO/CTA
Imagine the examiners’ surprise when they showed up at the address of the CPO/CTA Synergistic Group in Frankfort, Ill., which was supposedly run by Pr...
1/10/2019 | Content area: CPO/CTA
April 1 is the deadline for you to comply with changes the National Futures Association is making to its cybersecurity rules, which the SRO announced ...
1/10/2019 | Content area: CPO/CTA
The CFTC may be temporarily closed due to the government shutdown but that isn’t stopping  President Trump from asking Congress to approve the Commiss...
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