United States:
IB Charged With Capital And Recordkeeping Violations
07 August 2018
Cadwalader, Wickersham & Taft LLP
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The National Futures Association ("NFA") Business
Conduct Committee charged a registered independent introducing
broker with failing to (i) maintain the required minimum adjusted
net capital, (ii) file telegraphic notice of its capital
deficiencies with the NFA in a timely manner and (iii) keep current
books and records.
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