ORS Enhancements Presented by: Yvette Christman, Vice-President, - - PowerPoint PPT Presentation
ORS Enhancements Presented by: Yvette Christman, Vice-President, Registration Chris Brettman, Manager, Business Systems and Information Center Patrick Alfich, Manager, Investigations, Registration What t We ell T ll Talk A About T
Presented by: Yvette Christman, Vice-President, Registration Chris Brettman, Manager, Business Systems and Information Center Patrick Alfich, Manager, Investigations, Registration
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The NFA Membership application was separated from the CFTC Form 7-R. To accommodate this change in the Application/Annual Update processes, the questions from the CFTC Form 7-R were moved in front of the NFA Membership questions.
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Holding companies now include fields for additional information—Federal EIN, State and Country.
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Current Version Question C
Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?
New Version
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In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been permanently or temporarily enjoined after a hearing or default or as the result
involving:
pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?
New Version
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Current Version Question E In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been found after a hearing or default or as the result of a settlement, consent decree or other agreement, to:
fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
New Version
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Current Version Question I Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? New Version
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Current Version Question J Has the firm or sole proprietor ever been the subject of an adversary action brought by, or on behalf of, a bankruptcy trustee? New Version
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If a firm previously filed a matter page and/or a disclosure matter page, a summary of the filings will be available for review in the Annual Registration Update.
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Email address is now required for all contact types.
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First page of the Membership Application.
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for all membership contacts.
copying the Membership Contact information for additional contact types.
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New navigation to access the DMP Filing System (click the applicable disclosure matter summary link under the Disciplinary Information section).
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Disclosure matter summary screen in the DMP Filing System.
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Current disclosures will appear under the Current Disclosure header along with a total of the number of DMPs on file.
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Matter pages have been converted to DMPs and can be updated if needed.
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To create a DMP, click the “Add DMP” button.
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New Firm DMPs will have data fields similar to the Individual DMPs.
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You will have the option to upload supporting documentation in the DMP. We will accept PDF, word, text and .tif document types.
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You can "Save" the DMP if it's not complete, "File" the DMP, or "Cancel" the DMP.
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Saved DMPs will appear as “In Process” in the grid and can be deleted.
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Click the link in the Date DMP Filed column to view or edit an “In Process” DMP or the current version of a filed DMP.
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Click the Amend button to put the DMP in edit mode.
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If you edit a previously filed DMP, it will create a new version and the prior version will move to the Prior Filing(s) Column.
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NFA staff will have the ability to archive DMPs, for example, duplicate DMPs filed for the same matter and/or DMPs filed for matters NFA deemed to be non-disclosable or no longer disclosable.
Question C
(1) Are you personally OR (2) is any entity of which you were a Principal at the time the activities occurred a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?
Question D In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), (1) have you personally OR (2) has any entity of which you were a Principal at the time the activities occurred ever been permanently or temporarily enjoined after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:
misappropriation of funds, securities or property?
Question I (1) Are you personally OR (2) is any entity of which you were a Principal at the time the activities occurred a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?
Question L Have you ever been discharged or permitted to resign for cause as a result of allegations of:
racketeering or misappropriation of funds, securities or property; or
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Added FBI Privacy Act Statements to the summary screen.
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Security Manager Password Reset Process
All firm users will be able to reset their passwords at any time on the Log In screen. An email will be sent to the user using the address NFA has on file. This email will contain a link to the Reset Password
View/Amend Registration Information
Most of the stand-alone view and update screens for both firms and individuals have been combined into
Swaps Proficiency Requirements
containing a training and testing component.
short track (which will consist of 4 modules).
at a swap dealer.
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