WebDec 15, 2024 · Regulatory Update – NFA Bylaw 1101. February 9, 2024 Marketing. 5 Strategies To Grow Your Financial Services Business Using Digital Marketing. December 15, 2024 Upcoming Events. NIBA’s CTA Connection. April 18, 2024. Register Now! FUTURES BROKER / CTA DIRECTORY. Webregistration requirements for CTAs that provide standardized advice by means of media such as newsletters, pre-recorded telephone hotlines, Internet web sites, and non-customized computer software. ... NFA Bylaw 1101 provides, in pertinent part, that no Member may carry an account, accept an order or
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Guidance On CPO And CTA Annual Affirmations …
WebFeb 6, 2024 · NFA Bylaw 1101 requires registered CPOs and CTAs to conduct adequate diligence to determine that they do business only with persons who are registered with the CFTC and NFA if such registration... WebJan 27, 2024 · Bylaw 1101: A CPO of a pool with investors that themselves are either (a) pools that are exempt under CFTC Rule 4.5 or Rule 4.13 or (b) commodity trading advisors that are exempt under CFTC Rule 4.14 (a) (8), should confirm promptly after the beginning of each calendar year that each such investor has affirmed its exemption, claimed … WebJan 30, 2024 · As you assess these new requirements, you may also be working on Bylaw 1101 due diligence, ahead of the March 2nd deadline to affirm certain exemptions. ACA Guidance The beginning of the new year is a great time to review your compliance program and ensure it meets the new guidance and regulatory requirements. buy crypto ireland