http://www.series34exam.com/conflicts-of-interest/ Sun, 05 Feb 2012 03:32:16 +0000 http://wordpress.org/?v=2.7.1 hourly 1 http://www.series34exam.com/conflicts-of-interest/comment-page-1/#comment-3291 Michael Fri, 22 Oct 2010 17:27:15 +0000 http://www.series34exam.com/?p=217#comment-3291 Jantz is right, on my disclosure doc I must disclose conflicts of interest... Jantz is right, on my disclosure doc I must disclose conflicts of interest…

]]> http://www.series34exam.com/conflicts-of-interest/comment-page-1/#comment-3212 Jantz Hoffman Thu, 30 Sep 2010 21:02:30 +0000 http://www.series34exam.com/?p=217#comment-3212 I believe this refers to retail forex traders that will be required to register with the NFA as a CTA and in doing so will be required to disclose in their disclosure document that all potential clients must receive a section on conflicts of interest. As many forex adviser receive rebates for transactions these CTAs will be required to disclose the fact that they have a conflict on interest to over trade a customers account. Additional conflicts could relate to other business operations and proprietary trading by the CTA. I believe this refers to retail forex traders that will be required to register with the NFA as a CTA and in doing so will be required to disclose in their disclosure document that all potential clients must receive a section on conflicts of interest. As many forex adviser receive rebates for transactions these CTAs will be required to disclose the fact that they have a conflict on interest to over trade a customers account. Additional conflicts could relate to other business operations and proprietary trading by the CTA.

]]> http://www.series34exam.com/conflicts-of-interest/comment-page-1/#comment-198 Forex Regulatory Requirements Mon, 29 Jun 2009 23:17:19 +0000 http://www.series34exam.com/?p=217#comment-198 [...] Conflicts of interest [...] [...] Conflicts of interest [...]

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