NIBA’s First-Ever Compliance Debate – September 14th
Do you occasionally feel like there is a huge “gray area” surrounding a regulation? Did you ever think there must be a second or even a third way to approach…
CFTC & SEC Registration Considerations for Private Fund Managers
Nicole M. Kuchera and Joseph M. Mannon, Vedder Price August 23, 2016 This article provides a simple three step guide to registration considerations for managers of various types of…
The CFTC Proposes Significant Relief For Non-U.S. Market Participants
The U.S. Commodity Futures Trading Commission ("CFTC"), which regulates commodity interest transactions such as swaps and futures contracts, has requested comments from industry market participants on its proposed amendments to…
Just Following Orders
There can be no doubt about the vast, if not monumental, effect that modern technology has brought to the futures broker industry. Processes that were once the purview of man-made…
Notice to Members I-16-16
Effective date of amendment to Compliance Rule 2-46: Late fee for NFA Forms PQR and PR filings NFA recently amended NFA Compliance Rule 2-46 to impose a $200 late fee on commodity…
Ask the NFA
NIBA: Ask NFA June 2016 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…
Ask the NFA
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…
Housekeeping, Reminders and Updates May 2016
FINANCIAL CRIMES ENFORCEMENT NETWORK Customer Due Diligence Requirements for Financial Institutions Finalized On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued its final rules under the Bank Secrecy…
CME Group Regulatory Outreach Program
CME Group’s Regulatory Outreach Program provides market participants with the information and resources necessary to meet their compliance needs. Our goal is to work with market participants proactively to ensure…
NYC Conference Follow Up: NFA Cybyersecurity Interpretive Notice
In light of the almost daily news about cybersecurity breaches, including at financial institutions, and the significant threat and damage these breaches could cause to NFA's Member firms, customers, and…
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