NFA held Member Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED), introducing broker (IB) and swap dealers (SD) Members in London, October 29th.
NFA staff discussed a variety of topics, including common exam findings, preparing for an NFA exam, supervision and interpretive notices, among other topics.
A.I. and Digital Asset Trends Explored how NFA rules and requirements apply to A.I. and Digital Assets.
Cybersecurity Update Provided an update on the cyber Interpretive Notice, guidance on responding to a cyber incident and other important reminders regarding cybersecurity.
Exam Prep and Common Findings: CPOs, CTAs, IBs, FCMs and FDMs Walk through of the exam process and expectations, while also highlighted common NFA exam findings.
Exam Prep and Common Findings: SDs Walk through of the exam process and expectations, while also highlighted common NFA exam findings.
Officer Keynote Mike Otten, Senior Vice President, Head of Member Oversight Department, presented the latest from NFA.
Supervision Supervision lies at the core of a firm's compliance program. Discussed AP supervision, order handling, trading activities, supervisory procedures, employee trainings and more.
