Sarah Riddell

Sarah Riddell

K&L Gates LLP

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NFA Proposes Guidance on Diligent Supervision of Associated Persons

UPDATE: On 1 May 2025, NFA withdrew Interpretive Notice 9083. The guidance remains available on NFA’s website for industry participants’ review....more

5/6/2025  /  CFTC , Compliance , Derivatives , Due Diligence , Enforcement Actions , NFA , Proposed Rules , Regulatory Requirements , Risk Management , Supervision
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