TheBooks

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 »

Producing the required NFA Performance Capsule for each of your programs can be a time consuming and error-prone task, especially for advisors with large numbers of accounts or ones with high-turnover. You must update your disclosure document with this… more »