Compliance / Legal

Happy New Year! We hope the NIBA membership had a successful 2016.  The beginning of a new year is typically a time when firms are focused on plans for growing…

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. “Ask the NFA,” is the way you can ask questions about…

Artificial Intelligence (AI) is the hottest topic in service industries these days, and compliance is no exception. AI can be roughly divided into two categories: General, which we see in…

When Benjamin Franklin coined the phrase “an ounce of prevention is worth a pound of cure,” he had fire safety in mind.  Cybersecurity wasn’t on anyone’s radar.  In fact, radar…

Please take a moment to watch the video below of CFTC Commissioner Christopher Giancarlo's thoughts and concerns about the CFTC's proposed Reg AT: https://www.youtube.com/watch?v=czFDOnsNoIM

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. “Ask the NFA,” is the way you can ask questions about…

In an effort to better understand and monitor the financial health of certain members of the National Futures Association (“NFA”), the NFA has submitted a proposal to the Commodity Futures…

NIBA’s September 14 Conference opened up first thing in the morning with a panel discussion on none other than “What's on the radar at the NFA!”  By the look on…

Inspired by this year’s presidential debate, the NIBA hosted its first ever compliance debate at a conference for their 25th year anniversary held at the CME Group on Sept. 14.…