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The top documents tagged [nfa regulatory requirements]
The NFA Examination Process November 6, 2014 Regina Thoele, Senior Vice President Patricia Cushing, Director, Compliance J.P. Bruynes, Partner, Akin Gump
216 views
The NFA Examination Process Patricia Cushing, Director, Compliance
20 views
Session 5: The NFA Audit Process Panelists: Roxanne Bennett, Price Asset Management Jennifer Sunu, NFA Matt Pendell, NFA
237 views
The NFA Examination Process March 18 and 19, 2015 Patricia Cushing, Director, Compliance Michael Braden, Manager, Compliance Jacob Preiserowicz, Special
213 views
Session 5: The NFA Audit Process Moderator: Regina Thoele, NFA Panelists: Larry Block, Kenmar Group Joseph Picone, NFA Lennox Compass, NFA
239 views
Session 5: The NFA Audit Process Moderator: Regina Thoele, NFA
39 views