In three separate notices, NFA reminded (i) futures commission merchants, forex dealers, and introducing brokers, (ii) CPOs and CTAs, and (iii) swap dealers on reporting requirements, and common deficiencies in regulatory compliance.
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In a series of Notices, NFA reminded member firms, by type, of their regulatory obligations based on common examination deficiencies.
A futures commission merchant settled CFTC charges for failing to enact sufficient cybersecurity measures and to notify customers of a $1 million cyber breach.
The National Futures Association submitted to the CFTC a proposal to adopt an interpretive notice that would impose new disclosure requirements on member firms engaged in virtual currency activities.
The National Futures Association advised futures commission merchants and introducing brokers to ensure that their anti-money laundering programs comply with OFAC requirements on virtual currency transactions.