Enforcement actions resulting in civil penalties of $1 million or more $5,587,297 Average (mean) civil penalty paid 12 New actions brought since January 1, 2017 alone 57% Portion of all trade surveillance enforcement actions involving spoofing or layering -- the most active subject area by a wide margin Monitoring Control and Surveillance | NFA Papua New Guinea Monitoring, Control and Surveillance . This business group comprises four separate units. 1. Enforcement Unit . The Enforcement Unit is one of the units of Monitoring, Control and Surveillance Business Group that responsible for surveillance and enforcement programs to ensure that holders of fishing and harvesting licenses, both domestic and foreign, understand and comply with the terms and

20 Feb 2020 engagements centered around trade surveillance, spoofing and Ms. Harris has also managed audits of NFA member firms, prepared audit  13 Dec 2016 Both the Commodity Futures Trading Commission (CFTC) and the as well as NFA's observations gleaned through its Continuous Monitoring  5 Sep 2018 The monitoring team will be led by the NFA, the Department of Trade and Industry, the National Bureau of Investigation, the Philippine National  Introducing Brokers must be registered and members of the NFA in order to do Trade Practice/Market Surveillance: NFA provides several programs to  Welcome to the Uganda National Forest Authority's (NFA) Business Plan for 2015 – 2019 6.1 The Monitoring, Evaluation and Reporting Framework. trade as well as encroachment occurred in the Government controlled Forest Reserves.

My main responsibilities include supporting NFA's market regulation team in market surveillance for various exchanges, SEFS, DCMs, ect. in the futures and swaps industry and being the interface

National Futures Association - Wikipedia Membership in NFA is mandatory, assuring that everyone conducting business with the public on U.S. futures exchanges and in the retail forex marketplace must adhere to the same standards. NFA membership also is mandatory for swap dealers and major swap participants. NFA's membership currently numbers approximately 4,000 firms and 55,000 associates. ICAP taps NFA for Surveillance and Trade Practice ... "This is a significant step forward as we engage in new regulatory activity on behalf of SEFs. For over ten years, NFA has been successfully performing trade practice and market surveillance functions on behalf of futures exchanges," says NFA President Daniel J. Roth.

Maura Durkin - Senior Systems Analyst- Market Regulation ...

The market surveillance program’s primary mission is to identify situations that could pose a threat of manipulation. Each day, for all active futures and option contract markets, the CFTC's market surveillance staff monitors the daily activities of large traders, key price relationships, and relevant supply and demand factors in a continuous review for potential market problems. Market Surveillance Definition - Investopedia Jan 31, 2018 · Market Surveillance: The prevention and investigation of abusive, manipulative or illegal trading practices in the securities markets. Market surveillance helps to ensure orderly markets , where Training, Resources and Data Exchange

Enforcement, Member and Investor Education, Market Surveillance. Website, www.nfa.futures.org · Edit this at Wikidata. The National Futures Association (NFA ) is the self-regulatory organization (SRO) for the U.S. derivatives industry, including on-exchange traded futures, 

The National Fire Academy (NFA) works to enhance the ability of fire and emergency services and allied professionals to deal more effectively with fire and related emergencies. Free training courses and programs are delivered at our campus in Emmitsburg, Maryland, online and throughout the nation. Trading Surveillance and Compliance | NICE Actimize The price of trading in today's global economy is strict adherence to a wide range of global regulations. Your firm must have effective regulatory compliance that encompasses cross-asset class and cross-market trade surveillance, monitoring activities for market manipulation, fraud, behavioral patterning, and … CFTC/NFA Member Services - ACA Compliance ACA provides futures brokerage firms, commodity trading advisors, and commodity pool operation managers with compliance solutions. Commodity Futures Trading Commission (CFTC) registrants and National Futures Association (NFA) members can streamline their business and operational processes and improve the quality and effectiveness of their compliance programs by leveraging ACA’s help. CFTC and NFA Commodities Regulatory Update | Insights ... Mar 11, 2019 · NFA Interpretive Notice. In Notice I-19-03, dated Jan. 31, 2019, NFA announced a requirement that CPOs adopt and implement an internal control system designed to improve protection of customer funds and provide reasonable assurance that a CPO’s books and records are accurate and compliant with applicable CFTC and NFA requirements.

NFA Releases Annual Report - The Industry Spread

Introducing Brokers must be registered and members of the NFA in order to do Trade Practice/Market Surveillance: NFA provides several programs to  Welcome to the Uganda National Forest Authority's (NFA) Business Plan for 2015 – 2019 6.1 The Monitoring, Evaluation and Reporting Framework. trade as well as encroachment occurred in the Government controlled Forest Reserves. Organizations that trade crypto futures will be required to conduct business offer futures trading will themselves be required to register with the CFTC and NFA as Additionally, exchanges will need to enhance their surveillance practices to 

13 Dec 2016 Both the Commodity Futures Trading Commission (CFTC) and the as well as NFA's observations gleaned through its Continuous Monitoring  5 Sep 2018 The monitoring team will be led by the NFA, the Department of Trade and Industry, the National Bureau of Investigation, the Philippine National  Introducing Brokers must be registered and members of the NFA in order to do Trade Practice/Market Surveillance: NFA provides several programs to  Welcome to the Uganda National Forest Authority's (NFA) Business Plan for 2015 – 2019 6.1 The Monitoring, Evaluation and Reporting Framework. trade as well as encroachment occurred in the Government controlled Forest Reserves. Organizations that trade crypto futures will be required to conduct business offer futures trading will themselves be required to register with the CFTC and NFA as Additionally, exchanges will need to enhance their surveillance practices to  23 Sep 2019 1 CFTC (Commodities Futures Trading Commission); 2 NFA the NFA (National Futures Association) for registering and monitoring activities.