On episode 21 we discuss the National Futures Association (“NFA”) board’s recent released rules via the Interpretive Notice 9073 – Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities. We also do a deep dive into the NFA Rulebook.
Cybersecurity is becoming a greater priority each year for investment firms. Not only is the risk of attack increasing from a growing number of sources, but the level of potential damage to individual firms and the overall market also increases … Read More
Cybersecurity and cyberattacks continue to dominate the news and the regulatory landscape in 2018. It is projected that they will continue to remain prominent issues for financial institutions for the foreseeable future. To anticipate future cyberattacks is a near impossibility; … Read More
The Core Compliance team recently returned from the IAA National Conference, which took place in Washington, DC, on March 15 & 16. We had the pleasure of attending two packed days full of discussions, which were kicked off by … Read More