NFA Rule 2-4

The proposal is potentially good news for affected advisers, but firms should not assume that they will automatically qualify for the new exemption.

The changes would allow more retakes within a shorter span of time.

A key takeaway is that data challenges persist, despite being continually flagged for years.

Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.

Discussions of enterprise risk management, surveillance technology, and market abuse feature in the first of two reports.

Lawyers gathered for our latest roundtable discussion on the major pain points for firms and compliance professionals.