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Open Categories Menu Earlier this year we provided a general overview of the annual compliance requirements for CPOs and CTAs. The NFA has just released their annual reminder for all CFTC registratants (including IBs, FCMs and RFEDs). The NFA notice, reprinted below in full, provides a good overview of what CFTC registered firms [...]
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Posts Tagged ‘ NFA annual compliance ’
11 January
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Business Issues, cftc, Commodities and Futures, compliance, CPO, CTA, Forex, Legal Resources
NFA Annual Questionnaire
Reminder to NFA Member Firms As part of the annual processes and procedures NFA Members will need to make sure that they complete the NFA Annual Questionnaire. As discussed below in the NFA’s most recent notice to members, it is important that NFA Members complete the questionnaire because some of [...]
