The NFA reminded member firms of resources provided by the NFA to help them with regulatory compliance (see here and here for the Notices). These resources, which are available on the NFA's website, pertain to requirements for:
- payment of dues;
- completion of annual questionnaires;
- filing of ongoing updates;
- computation of financial ratios;
- anti-money laundering compliance; and
- disclosure compliance.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
