A futures commission merchant settled charges with the National Futures Association for failing to maintain communications records and for failing to protect customer information.
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An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.
A CFTC-registered futures commission merchant ("FCM") settled NFA charges for recordkeeping, reporting, disclosure and supervision failures.
A swap dealer settled NFA charges for disclosure, risk management, recordkeeping and supervision violations relating to the firm's value-at-risk and initial margin calculations.
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.