2025 London Member Regulatory Workshop
NFA is holding Member Regulatory 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 is discussing a variety of topics, including common exam findings, preparing for an NFA exam, supervision and interpretive notices, among other topics.
Registration is now closed. Archived presentations are forthcoming.
Agenda
| 9:15 a.m. – 9:30 a.m. | Welcome |
| 9:30 a.m. – 10:30 a.m. | Exam Prep and Common Findings: CPOs, CTAs, IBs, FCMs and FDMs Staff will walk through the exam process and expectations, while also highlighting common NFA exam findings. |
| 10:30 a.m. – 10:45 a.m. | Officer Keynote Hear from Mike Otten, Senior Vice President, Head of Member Oversight Department, on the latest from NFA. |
| 10:45 a.m. – 11:00 a.m. | Networking Break |
| 11:00 a.m. – 11:45 a.m. | A.I. and Digital Asset Trends Explore how NFA rules and requirements apply to A.I. and Digital Assets. |
| 11:45 a.m. – 12:30 p.m. | Cybersecurity Update This session provides an update on the cyber Interpretive Notice, guidance on responding to a cyber incident and other important reminders regarding cybersecurity. |
| 12:30 p.m. – 1:30 p.m. | Lunch |
| 1:30 p.m. – 2:15 p.m. | Supervision Supervision lies at the core of a firm's compliance program. NFA staff will discuss AP supervision, order handling, trading activities, supervisory procedures, employee trainings and more. |
| 2:15 p.m. – 2:45 p.m. | Networking Break |
| 2:45 p.m. – 3:45 p.m. | Surveillance Hear from an NFA Member Panel on how surveillance is implemented and managed at the firm level. |
| 3:45 p.m. – 4:45 p.m. | Exam Prep and Common Findings: SDs Staff will walk through the exam process and expectations, while also highlighting common NFA exam findings. |
| 4:45 p.m. | Closing |