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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14 News Results
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.
A retail foreign exchange dealer settled CFTC charges for registration and supervisory violations concerning the handling of non-eligible contract participant customer accounts.
NFA announced the effective date of rule amendments designed to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.
NFA adopted supervisory requirements and technical amendments concerning swap activities.