Troubleshooting CFTC and NFA Deficiency Concerns for Advisers

Troubleshooting CFTC and NFA Deficiency Concerns for Advisers

Learning Objectives:

  • Overview of the current CFTC and NFA landscape
  • Understand the obligations of exempt CPOs/CTAs
  • Learn about NFA concerns that prompt examinations
  • Hear sample compliance testing tips from the pros
  • Review recent enforcement cases to avoid similar pitfalls

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