NFA updated the Self-Examination Questionnaire to reflect recent amendments to rules on, among others thing, branch office supervision, public communications and disclosure.
News & Insights
NFA notified members that it would not pursue disciplinary actions if a firm allows associated persons to temporarily work from home under business contingency plans, provided that the firm institutes adequate supervisory methods and meets its recordkeeping requirements.
NFA highlighted certain regulatory obligations and available resources for (i) CPOs/CTAs, (ii) swap dealers, and (iii) futures commission merchants, forex dealer members and introducing brokers.
The CFTC Division of Swap Dealers and Intermediary Oversight urged chief compliance officers "to take reasonable measures" to incorporate recent swap dealer reporting guidance into 2019 annual compliance reports.
The CFTC provided guidance for swap dealers, futures commission merchants and major swap participants on annual compliance report requirements.