NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.
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NFA reminded member firms that March 1, 2020 is the compliance date for certain customer information and risk disclosure requirements that apply to cleared swaps.
NFA proposed amendments to (i) expand obligations involving discretionary customer accounts, and (ii) clarify rules and interpretations on discretionary accounts, customer information, risk disclosures and bunched orders.
NFA reminded firms that are engaged in swaps activities to pay the new annual dues surcharge by January 1, 2020.
NFA updated its FAQs to address recently amended swaps proficiency requirements.