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Cadwalader Wickersham & Taft LLP | USA | 14 Jan 2022

NFA Highlights Common Regulatory Deficiencies

In three separate notices, NFA reminded (i) Futures Commission merchants, Forex dealers, and introducing brokers, (ii) CPOs and CTAs, and (iii) swap…
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Cadwalader Wickersham & Taft LLP | USA | 13 Jan 2022

NFA Reminds Members of Deadline on Exemptions for CPOs and CTAs

NFA reminded firms that the CFTC requires any CPO that claims an exemption from registration to file a notice of exemption by March 1, 2022. NFA…
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Cadwalader Wickersham & Taft LLP | Australia, Singapore | 6 Jan 2022

CFTC Staff Grants Financial Reporting No-Action Relief to SDs in Singapore and Australia

CFTC Market Participants Division ("Division") staff provided financial reporting relief to nonbank Swap Dealers ("SDs") in Australia and Singapore…
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Cadwalader Wickersham & Taft LLP | USA | 31 Dec 2021

NFA Charges Firm with Registration and Supervision Violations

The NFA Business Conduct Committee ("BCC") issued a complaint against an introducing broker and its CEO for registration and supervision violations…
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Cadwalader Wickersham & Taft LLP | USA | 22 Dec 2021

NFA Amends Financial Reporting Requirements for SEC-Registered SDs

NFA adopted amendments to financial reporting requirements for a swap dealer ("SDs") that is also a broker-dealer or security-based swap dealer…
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Eversheds Sutherland (US) LLP | USA | 22 Dec 2021

Swap APs exempt from Branch Office Manager Series 30 Examination requirement effective January 3, 2022

On Monday, November 27, 2021, the National Futures Association (NFA) submitted to the CFTC proposed amendments to NFA Compliance Rule 2-7 to exclude…
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Cadwalader Wickersham & Taft LLP | USA | 20 Dec 2021

NFA Amends Branch Office Manager Exam Requirement

NFA adopted an amendment to the examination requirement for branch office managers of firms that engage only in swap activities. As previously…
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Schulte Roth & Zabel LLP | USA | 7 Oct 2021

NFA Excludes Certain Remote Work Arrangements From Its Branch Office Definition

On September 23, 2021, National Futures Association (“NFA”) rule amendments became effective that will permit NFA-member managers to authorize certain…
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Mayer Brown | USA | 2 Sep 2021

Permanent Work-From-Home Rule Proposed by US National Futures Association

On August 23, 2021, the National Futures Association (“NFA”) proposed revisions to its registration rules that would facilitate permanent…
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Akin Gump Strauss Hauer & Feld LLP | USA | 30 Aug 2021

NFA Proposes to Amend the Branch Office Definition, Embraces the ‘New Normal’ of Remote Working for CPOs and CTAs

Key Points Beginning as early as September 2, 2021, a "branch office" for NFA purposes will exclude any remote working location not held out to the…
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