Compliance Workshop Materials for Forex IBs, CTAs and CPOs - Chicago

National Futures Association's
Compliance Workshop for Forex IBs, CPOs and CTAs
Tuesday, September 27, 2011
8:30a.m.-4:30p.m.
UBS Conference Center
One North Wacker Drive
Chicago

In an effort to be more cost-effective, NFA will not be distributing a binder of resource materials to seminar attendees. However, we are making all of the materials available online for you to view and choose which ones you would like to download, print and bring with you to the seminar.

Some of the materials are regulatory guides that you are already familiar with and may not choose to bring with you (e.g., NFA's Self-Examination Questionnaire). However, some of the materials (those marked with an asterisk) have been developed specifically for the seminar and we encourage you to bring copies of them with you.

NFA also live-tweeted during the workshop using the hashtag #NFAFXW. A full transcript of the Twitter conversation can be viewed here.

Registration Issues Session

• Registration Issues*

Promotional Material and Sales Practices Session

• Promotional Material and Sales Practices*
• A Guide to NFA Compliance Rules 2-29 and 2-36: Communications with the Public and Promotional Material
• NFA Interpretive Notice: Compliance Rule 2-29: Use of Promotional Material Containing Hypothetical Performance Results
• NFA Interpretive Notice: NFA Compliance Rule 2-9: Supervisory Procedures for Email and the Use of Websites
• NFA Interpretive Notice: Use of Online Social Networking Groups to Communicate with the Public
• Promotional Material Exercises*
• Promotional Material Exercise Answer Key*

Supervision and Operations Session

• Supervision and Operations*
• NFA Interpretive Notice: Forex Transactions
• NFA Interpretive Notice: Compliance Rules 2-9, 2-36 and 2-39: Self-Audit Questionnaires
• Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs
• Business Continuity and Disaster Recovery Plan Questionnaire
• Privacy Policy Questionnaire
• Ethics Training Policy Questionnaire
• NFA Interpretive Notice: NFA Compliance Rule 2-9: Ethics Training Requirements
• Original List of Ethics Training Providers
• NFA Interpretive Notice: NFA Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs
• Notice to Members I-11-05: Calculation of Profitable and Not-profitable Accounts under CFTC Regulation 5.5
• Notice to Members I-11-04: FinCEN Issues Final Rules Relating to the Confidentiality of Suspicious Activity Reports, Updated Guidance Regarding the Sharing of Suspicious Activity Reports with Affiliates, and an Advisory on Maintaining Suspicious Activity Report Confidentiality
• NFA Interpretive Notice: NFA Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program
• Notice to Members I-11-09: Regulatory Reminder to Commodity Trading Advisors of Recordkeeping Requirements

CPO/CTA Issues Session

• CPO and CTA Issues*
• Rule Submission Letter regarding Allocation of Bunched Retail Forex Orders for Multiple Accounts – Proposed Adoption of the Interpretive Notice to NFA Compliance Rule 2-10
• Sample Performance Spreadsheet
• User's Guide to NFA's Disclosure Document Electronic Filing System
• Disclosure Documents: A Guide for CPOs and CTAs
• Qualified Eligible Person ("QEP") Definition*
• Notice to Members I-10-12: NFA provides guidance for disclosure of business background information by commodity pool operators and commodity trading advisors
• Notice to Members I-11-01: NFA provides guidance for disclosure of conflicts of interests arising from Typical Incentive Fee Arrangements by commodity pool operators and commodity trading advisors
• Notice to Members I-07-25: Disclosure of Conflicts of Interest by CPOs and CTAs
• NFA Interpretive Notice: NFA Compliance Rule 2-10: The Allocation of Bunched Orders for Multiple Accounts