"I believe any regulatory response to digital assets must include measures to bring additional transparency to the conduct that makes this innovation possible"
If your risk assessment deems it appropriate, you can make your 2023 branch office exams remote as well, the NFA states
Mistakes around these items cause the most exam deficiencies among CPOs/CTAs that are NFA members
Enforcement action will not be recommended against an SD for a failure to comply with the CFTC Margin Rule solely to the extent such compliance ...
Until June 30, 2023 enforcement action won't be recommended against any person for a failure to comply with the IRS Clearing Requirement when making a ...
Until June 30, 2023, no enforcement action will be recommended for failure to comply with the trade execution requirement with respect to an IBOR-linked swap ...
These fallback provisions are designed to ensure that transactions that reference LIBOR will continue to function following the cessation or non-representativeness of LIBOR by providing ...
A failure to provide the annual affirmation can result in the exemption being withdrawn
This and other actions by the CPO caused it not to “satisfy its duty of disclosure to participants and prospective participants,” which amount to fraud

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