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Supervision
- What activities is my firm required to supervise?
- What are the supervisory requirements for individuals?
- What types of activities must I supervise at branch offices or GIBs?
- How often must I conduct an onsite audit of a branch office or GIB?
1. What activities is my firm required to supervise?
NFA Compliance Rule 2-9(a) requires the firm to supervise all of its commodity futures activities.
What activities is my firm required to supervise?2. What are the supervisory requirements for individuals?
NFA Compliance Rule 2-9(a) requires all Associates with supervisory responsibilities to exercise those responsibilities diligently.
What are the supervisory requirements for individuals?3. What types of activities must I supervise at branch offices or GIBs?
NFA's Interpretive Notice 9019 provides detailed descriptions of a Member's day-to-day monitoring obligations as well as the types of tests and reviews the Member should conduct during an onsite audit.
What types of activities must I supervise at branch offices or GIBs?4. How often must I conduct an onsite audit of a branch office or GIB?
Members are expected to conduct an onsite review of a each branch office or GIB at least annually.
How often must I conduct an onsite audit of a branch office or GIB?© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy