NFA held Member Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED), and introducing broker (IB) in Chicago, May 28th and New York, June 2nd; and swap dealers (SD) Members in New York, June 3rd.
NFA staff discussed a variety of topics, including common exam findings, preparing for an NFA exam, supervision, surveillance, hot topics, among other topics.
Officer Keynote Michael Otten, Senior Vice President, Head of Member Oversight, presented the latest from NFA.
Supervision Supervision lies at the core of a firm's compliance program. NFA staff discussed AP supervision, order handling, trading activities, supervisory procedures, employee training and more.
Hot Topics This session explored a range of evolving topics, including A.I., digital assets, event contracts, 24/7 trading and regulatory changes.
Exam Prep and Common Findings: CPOs, CTAs, IBs, FCMs and FDMs Staff walked through the exam process and expectations, while also highlighting common NFA exam findings.
Exam Prep and Common Findings: SDs Staff walked through the exam process and expectations, while also highlighting common NFA exam findings.
*Due to technical difficulties, this audio recording begins on slide seven. Please refer to slides three through six for earlier material.
