NFA

Reminder: NFA Cybersecurity Interpretive Notice Goes Into Effect on March 1, 2016

The National Futures Association ("NFA") Interpretive Notice to NFA Compliance Rules 2-9, 2-36, and 2-49, entitled Information Systems Security Programs, becomes effective on March 1, 2016 and applies to all membership categories.

Key Focus Points
The Cybersecurity Interpretive Notice focuses on the following key topic areas:

Q1 2016 Regulatory Reporting Deadlines

The first quarter of 2016 is a busy one for regulatory filings. This alert provides an overview of the regulatory filing submission deadlines occurring from February through March 2016 for the reports supported by ACA’s Regulatory Reporting platform (RR).

Please note that the submission dates below are not an exhaustive list of regulatory filing deadlines occurring during this quarter, but are rather the dates for the reporting modules supported by RR.

Regulatory Horizon 2016 in London

We are delighted to announce our industry-renown event, Regulatory Horizon, now in its fifth year, is open for registration. As with previous years, the event has been designed to help attendees get an ‘all-in-one-place’ overview of the main UK, European and U.S. regulatory issues now and on the horizon as we move into 2016.

CFTC Approves NFA Cybersecurity Interpretive Notice

The Commodity Futures Trading Commission ("CFTC") recently approved the National Futures Association ("NFA") Interpretive Notice to NFA Compliance Rules 2-9, 2-36, and 2-49, entitled Information Systems Security Programs. The Cybersecurity lnterpretive Notice will become effective on March 1, 2016 and applies to all membership categories.

Key Focus Points
The Cybersecurity Interpretive Notice focuses on the following key topic areas:

NFA Releases Cybersecurity Interpretive Notice

The National Futures Association ("NFA") has released a proposed Interpretive Notice on information security systems programs. This notice is provided as an interpretation of the NFA Compliance Rules 2-9, 2-36, and 2-49. The NFA board approved the proposal on August 20, 2015, and has submitted it to the CFTC for review and approval.

Key Focus Points
The NFA Interpretive Notice focuses on the following key topic areas:

Managing Regulatory Examinations Across Regulated Entities

Effective preparation for SEC, FCA, FINRA, and NFA examinations is critical to successful outcomes. Please join us on Thursday, August 6, 2015 from 11:00am to 12:00pm EDT for a webcast as ACA Compliance Group’s experts compare and contrast regulatory examination approaches. The speakers will also address exam methods, share leading practices, and discuss practical tips.

There will also be time allotted to answer specific questions and respond to comments from webcast attendees.