Mistakes around these items cause the most exam deficiencies among CPOs/CTAs that are NFA members
A new guide to help with the transition to SOFR
A failure to provide the annual affirmation can result in the exemption being withdrawn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
Ironically, the government will get a big chunk of the cash back because whistleblower awards are taxable
"My poor judgement was that I failed to review these internal reports daily and take note of the fact that the reports was [SIC] not ...
Blame another regulatory change on the pandemic. The NFA has revised its rule regarding reporting branch offices on Form 7-R because of the continuing turmoil ...
Continuing concerns tied to the pandemic has led the NFA to permit remote branch office exams through the end of this year.
The money may spur more whistleblower awards because the law requires the Commission to spend the money by Oct. 2022 or any of the remaining ...
In a somewhat related development, the FSA June 2 released a Global Transition Roadmap for LIBOR
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