Category: Compliance

Pages: 1 2 3 >>

09/26/2016

Permalink 02:45:00 pm, by Dana Comolli Email , 784 words   English (US)
Categories: Backoffice, Compliance, CTA Operations

How the Right Technology will Simplify Your Life - part 2

In the previous article I discussed how technology can help CTAs with back office tasks and potential headaches. Here I am looking outside the trade, to setting up and collecting and distributing performance information, especially to clients. more »

08/02/2016

Permalink 10:43:00 am, by Dana Comolli Email , 839 words   English (US)
Categories: Futures Trading, Compliance, CTA Operations

Why Compliance is the New Black

Compliance has been upped largely due to Dodd-Frank rules, but also because the NFA and exchanges are under increased scrutiny by the CFTC. There are key areas of compliance across all regulators that need to be part of the game plan for a firm’s daily operations. Here are important aspects to include in your plan. more »

06/13/2016

Permalink 09:28:00 am, by Dana Comolli Email , 1160 words   English (US)
Categories: Accounting, Futures Trading, Backoffice, Marketing, Compliance, CTA Operations

The Big Question: How to select an FCM?

With the shrinking number of FCMs, it might seem a CTA has little choice, or in some cases, too many. Either way, you need to know the questions to ask, and if you’re not happy with the answers, move on. more »

1 2 3 >>

October 2019
Mon Tue Wed Thu Fri Sat Sun
 << <   > >>
  1 2 3 4 5 6
7 8 9 10 11 12 13
14 15 16 17 18 19 20
21 22 23 24 25 26 27
28 29 30 31      
The official blog for users and others interested in TheBooks®

Search

XML Feeds

blog software