NFA set the effective date of September 30, 2021, for a recently adopted interpretive notice concerning members' use of third-party service providers.
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NFA approved the adoption of a new interpretive notice that requires CFTC-registered firms that outsource regulatory obligations to implement a written supervisory framework governing the outsourcing arrangements.
NFA adopted supervisory requirements and technical amendments concerning swap activities.
IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.
Two Florida residents were ordered to pay restitution and penalties, and a New York resident was charged with violations, in relation to separate cases involving commodity pool fraud.