Marketing Rule Best Practices: What We’ve Learned Over the Past Two Years
In this webcast, we will share valuable lessons learned over the past two years to help you meet the rule’s stringent marketing and advertising requirements.
Compliance teams need continuous support and knowledge sharing to stay on top of regulatory initiatives. Our team helps Commodity Futures Trading Commission (CFTC) registrants and National Futures Association (NFA) members to streamline their business and operational processes and improve the quality and effectiveness of their compliance programs.
On September 16, 2021, the National Futures Association (“NFA”) issued a Notice to Members I-21-28 regarding changes to the definition of a branch office under NFA Interpretive Notice 9002. The rule was a response from the NFA in the recent trend in hybrid work environments as more employees are working from their homes.
On April 13, 2021, the NFA issued a Notice to Members.
ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.
We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.
Acquisition strengthens ACA’s ability to support clients expanding into the UAE and broadens offering to UK firms .
In this webcast, we will share valuable lessons learned over the past two years to help you meet the rule’s stringent marketing and advertising requirements.
We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.