September 20, 2019
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on a Complaint issued by the BCC. The BCC found that Systra and Kopp provided false information to NFA concerning Kopp’s trading activities on behalf of a pool managed by Systra.
August 12, 2019
“On August 9, 2019, the Committee issued a complaint against Wells Fargo, a provisionally registered swap dealer and NFA member with its main office located in San Francisco, California. The complaint alleges Wells Fargo violated NFA Compliance Rule 2-49 (a) by failing to communicate with a counterparty in a fair and balanced manner as required under Commodities Futures Trading Commission Regulation 23.433,” the decision stated.
July 4, 2019
In partnership with the CFTC, we have developed a regulatory oversight program that reviewed in detail their policies and procedures upon registration, performs regular examinations of US and non-US swap dealers, collects certain risk information from these firms, and we and we approve and monitor these firms initial margin models for uncleared swaps
June 27, 2019
Meanwhile, the relationship between NFA and CFTC is like FINRA’s relationship with the Securities and Exchange Commission (SEC). All its rule changes must be approved, which is what that surcharge is waiting.
October 16, 2018
IG Group’s dream of opening a US subsidiary got a major boost this Tuesday after it received regulatory approval from the National Futures Association (NFA), a self-regulatory organisation that governs the American derivative market.
October 16, 2018
The Securities and Exchange Commission today announced that it has obtained an emergency court order halting a planned initial coin offering (ICO), which backers falsely claimed was approved by the SEC.
June 9, 2018
June 5, Chicago— NFA’s Board recently approved the development of a proficiency requirements program for individuals engaged in swaps activities, which will be in the form of an online learning program …