A CFTC-registered futures commission merchant ("FCM") settled NFA charges for recordkeeping, reporting, disclosure and supervision failures.
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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.
NFA set the effective date of September 30, 2021, for a recently adopted interpretive notice concerning members' use of third-party service providers.
The NFA proposed amendments to swap dealer and major swap participant reporting requirements that would include the collection of market and credit risk data.