As you are well aware, the number and sophistication of malicious cyber threat incidents in the financial sector has increased dramatically over the past five years and is expected to…
Whether you’re an IB or a CTA, selling retail trading, institutional execution, or managed futures - marketing starts with a process. From creating leads, recording lead and sales notes, to…
By Matthew Kluchenek and Michael Sefton It’s no secret that disruptive trading practices are a key concern of market regulators. Spoofing and other disruptive trading practices have garnered attention in…
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…
Written by: Mark E. Ruddy, Esq. & Jessica I. Brown, CAMS NATIONAL FUTURES ASSOCIATION Financial Reporting Requirements of Commodity Pool Operators The Commodity Futures Trading Commission (“CFTC”) amended certain items of…
Whether you are a single fund manager or an advisor with 10-100 agents, you’re under pressure to meet ever-changing compliance requirements while running and growing your business. No small task.…
President Donald J. Trump announced his intent to nominate a number of key administration officials. This announcement included nomination for Chairman of the CFTC. Below is from the White House…
Financial technology marketers are steadily improving at creating awareness-stage marketing content. Many who were once verbose and blustery are now producing more customer-centric thought leadership. The white papers, blogs and…
“I don’t mind going back to daylight saving time. With inflation, the hour will be the only thing I’ve saved all year.” Victor Borge, 1909-2000 Victor Borge was an Danish…
SoCal Conference Summary On February 23rd the NIBA held its first conference of 2017 in Newport Beach, California. Promoted as being held in “toasty” southern California many attendees from the…
