The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.
News & Insights
A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
A futures commission merchant settled CFTC charges for failing to (i) implement an adequate AML program, (ii) impose risk-based trading position limits on a customer's accounts and (iii) maintain customer records for a substantial period of time.
FIA submitted a comment letter questioning the value of certain compliance resource information required to be submitted as part of FCM and swap dealer CCO annual reports.
The NFA charged a Singapore-based, CFTC-registered introducing broker and its managing director with failure to maintain records of oral and written transaction communications and related supervisory failures.