Imagine that you have received a request from the CFTC or the NFA for records. This session will train session participants on various aspects of recordkeeping including format, retention and accessibility to better prepare you to respond to such an inquiry. What do recently revised CFTC rules (1.31) mean in practice? What are the regulators expecting to see when they conduct an audit? Speakers will use actual experiences in responding to regulatory inquiries to advise participants on best practices for retaining records.
Event Link: https://expo2018.fia.org/