Retail trading forex
Please advise us if your firm, either directly or through an affiliate or subsidiary, has in any way participated in forex transactions since January 1, If so, we request the following information pertaining to all forex transactions since January 1, Please advise if your firm solicited business for, or introduced customers to, a forex dealer. If so, please describe the due diligence forex firm undertook to learn about the forex dealer. Please advise if your firm retained anyone to solicit forex customers for the firm and, if so, what due diligence your firm undertook to learn about whoever was soliciting the forex customers for your firm. Please provide any documentation obtained as a result of the due diligence. If your firm utilizes exception reports to supervise forex trading, please identify the reports, including the parameters that are used and who generates the reports. Please describe how the reports are used to supervise forex trading, retail identify the person s responsible for utilizing the reports. Please provide a forex of the portions of your firm's Anti-Money Laundering AML Program that addresses retail risks associated forex forex trading, and that addresses monitoring, detecting, and reporting suspicious activities associated trading the forex transactions. Provide copies of such portions of all previous AML procedures that have trading in use trading Please advise if your firm forex a request pursuant to FINRA Rule previously NASD Rule for FINRA's approval of your firm engaging in forex trading, and if such request was filed prior to the firm engaging in any forex trading, in any capacity. Please provide a retail of any such request, trading a copy of FINRA's response to the request. Please describe how, if at forex, the firm accounted for forex transactions in its calculations of net capital and forex formula since first engaging in forex trading. If the firm did not account for forex transactions in its calculation of net capital and reserve formula, please explain why the firm did not do so. Has your firm received any customer complaints or arbitration claims concerning the forex activities? If so, provide a copy of the complaint s if written or a report of the complaint s if retail, state when made and to whom. Provide copies of account documentation and account statements. Provide documentation regarding the firm's investigation into the matter sthe firm's answer or response with exhibitsand copies of any adjustment, settlement, court order, or award resulting from the complaint s if resolved. Provide any other information or documentation you believe might be appropriate for a full understanding of the forex trading by your firm. FINRA Home About FINRA Newsroom Compliance Tools Contact Firm Gateway Sign In. Describe the capacity in which you participated in each forex transaction, e. Identify the parties to each forex transaction, i. Please provide this response in a sortable format, such as a Microsoft Excel spreadsheet. Provide whatever documentation you have concerning each forex transaction. Provide a copy of any documents given to the forex customers that forex the firm's capacity in the transactions. Please tell us when, relative to the particular forex transaction, the documents were provided to the forex customer. Provide trading copy of any documents given to the forex customers retail disclosed the risks trading with forex trading. Provide a copy of retail examples, illustrations, or demonstration accounts provided to customers related to forex trading. Provide a copy of all advertising and sales literature sent to forex customers or potential forex customers. Office of the Ombudsman. File a Regulatory Tip. Trading Initiate an Arbitration or Mediation Information for Arbitrators Information retail Mediators. ABOUT FINRA Leadership FINRA Locations Careers Contact. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
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