The Commodity Futures Trading Commission (CFTC) recently approved the National Futures Association’s Interpretive Notice to NFA Compliance Rules 2-9, 2-36 and 2-49, entitled Information Systems Security Programs (the...more
The National Futures Association (“NFA”) submitted to the Commodity Futures Trading Commission (“CFTC”) on August 28, 2015 a proposed Interpretive Notice (“Proposed Guidance”) for CFTC’s approval, which provides guidance to...more
9/10/2015
/ CFTC ,
Commodity Broker ,
Commodity Pool ,
Compliance ,
CPOs ,
Cybersecurity ,
Data Protection ,
Data Security ,
Data Storage Providers ,
Dealers ,
Financial Markets ,
Foreign Exchanges ,
Information Systems Security Program (ISSP) ,
Interpretive Rule ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Management ,
Mobile Device Management ,
Mutual Funds ,
National Futures Association ,
NIST ,
Personally Identifiable Information ,
Swap Dealers ,
Swaps ,
Third-Party Service Provider
On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted long-awaited harmonization rules (“Harmonization Rules”) for operators of registered investment companies (“Registered Funds”) that are subject to...more