Adam J. Spector

Adam J. Spector

Katten Muchin Rosenman LLP

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NFA Notifies Members of FinCEN Advisory

The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes Enforcement Network (FinCEN) has issued an advisory containing guidance with...more

12/24/2013 - Anti-Money Laundering Brokers FATF FinCEN Guaranteed Introducing Brokers NFA Terrorism Funding

NFA Issues Reminder of FCM Responsibility for Review of Guaranteed IB Promotional Materials

In response to an increase in the volume of promotional material being submitted by guaranteed introducing brokers (GIBs) to the National Futures Association (NFA) through its Pre-review Program (a free service offered by the...more

4/3/2013 - FCMs Guaranteed Introducing Brokers NFA

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