The National Futures Association (NFA) adopted on October 23, 2015 an “Interpretive Notice to NFA Compliance Rules 2-9, 2-36, and 2-49: Information Systems Security Programs” (Notice). The Notice requires each NFA Member to...more
11/6/2015
/ Brokers ,
CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Cybersecurity ,
Dealers ,
Employee Training ,
Information Systems Security Program (ISSP) ,
Major Swap Participants ,
National Futures Association ,
NFA ,
Parent Corporation ,
Popular ,
Recordkeeping Requirements ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Third-Party Service Provider
The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more
3/27/2015
/ Brokers ,
CFTC ,
Compliance ,
Employee Retirement Income Security Act (ERISA) ,
Equity Securities ,
Filing Deadlines ,
Filing Requirements ,
Form 13F ,
Form ADV ,
Investment Adviser ,
Investment Funds ,
NFA ,
Private Funds ,
Reporting Requirements ,
Schedule 13D ,
Securities Dealers