Our News
Our Continued Commitment to a Great Cause Since 2012, Exchange Analytics is honored to support Habitat for Humanity Greater Orlando & Osceola by providing AML training to their team, free…
CME Group's MRAN (RA2403-5) The CME Group’s new Market Regulation Advisory Notice (RA2403-5), in effect as of July 16, 2024, emphasizes the importance of training as part of its expectations for…
By Megan Conley | Head of Operations and Course Development Technology has enhanced market accessibility by introducing new digital methods, like mobile trading applications, for investors to execute trades. These…
Decades of Field Experience Will Help Clients Better Manage Their Cybersecurity Regulatory and Compliance Challenges Sarasota, FL (October 25, 2021) - Exchange Analytics (XA), a leader in futures/derivatives and…
A Practitioner’s Guide to Managing and Measuring Compliance Risk How do top security managers respond when the CEO asks: “Are we compliant?” Will the response change if a regulator…
Exchange Analytics, a leading provider of regulatory compliance training and support services, today announced a strategic partnership with Ekur Advisors, a Geneva-based boutique advisory firm specializing in governance, risk and…
By Amanda Potter | Head of Marketing and Communications In early March 2020, just weeks before the United States shut down due to COVID-19, former Second Lady Karen Pence…
Regulators are becoming more adept at remote market surveillance on pace with the financial industry’s ongoing adaptation to working from home, according to the chief executive of Exchange Analytics,…
On October 20, 2020, Exchange Analytics co-hosted our Annual Chicago Conference on Futures and Derivatives with Thompson Coburn LLP. Attendees heard industry experts discuss the latest regulatory and enforcement developments…
♦Announcing New Leadership♦ Exchange Analytics, a leading provider of regulatory compliance training and support services, welcomes Joe Adamczyk as its new president. Mr. Adamczyk assumes company leadership from Larry…
♦Failure to Train Comes at a Price♦ New York Mercantile Exchange Business Conduct Committee panels issued three disciplinary actions effective last Friday that highlight the consequences of inadequate employee…
♦Avoid the Failure-to-Supervise Trap♦ Increasingly, regulators are viewing a failure to train employees as a supervisory lapse. For example, disciplinary actions issued Jan. 30 by the NYMEX Business Conduct…
♦Anti-Money Laundering audits is all they do!♦ As you know, an independent AML performance test is one of the five pillars of an effective AML program. Our affiliate EA…
♦Death, Taxes and AML Training♦ If your firm is an FCM, IB or BD, one of life's certainties is that your employees (those involved in account solicitation, account opening, customer…
♦AML Training for Habitat for Humanity Greater Orlando & Osceola County♦ Exchange Analytics was delighted to provide its "Anti-Money Laundering for Retail Mortgage Lenders and Originators" course to Habitat…
♦Perspectives from Marketswiki Education World of Opportunity♦ John Lothian Productions has just released a video of the July 16 presentation by Exchange Analytics president Larry Israel at the Marketswiki…
♦New Anti-Money Laundering Course for Mortgage Brokers & Lenders♦ Our new AML course for Retail Mortgage Originators and Lenders was written by two Certified Anti-Money Laundering Specialists (CAMS). This is…
♦AML and Cybersecurity: A Tale of Two Deadlines♦ Earlier this year the National Futures Association published Cybersecurity FAQs to provide guidance supplemental to its Interpretive Notice on information systems security.…
♦An Agency First: CFTC DOE Enforcement Manual♦ The new Enforcement Manual issued by the Commodity Futures Trading Commission's Division of Enforcement is a significant 59-page document. It consolidates a…
♦U.S. vs. Thakkar: Non-Traders Beware♦ One of the most fascinating panel discussions at last week's Futures Industry Association Law & Compliance Conference in Washington, D.C. focused on the recent…
♦Market Conduct Update: Pre-Open Guidance♦ CME Group released a Market Regulation Advisory last week to provide guidance on Globex pre-open activity. The advisory, which becomes effective April 25, covers…
♦CME Advisory: Off-Market EFRPs Will Be Scrutinized♦ In an amended Market Regulation Advisory Notice that became effective yesterday, CME Group tightened the screws on Exchange for Related Position (EFRP)…
♦An Overview of CFTC 2019 Exam Priorities♦ (The following article was posted on February 19, 2019 in Securities Law Perspectives by Nicholas J. Wendland, and is reprinted with his…
♦Block Out the Big Penalty♦ When the NYMEX Business Conduct Committee fined an introducing broker Jan. 31 for block trade reporting violations, the panel found that, among other issues, the…
♦Mark Your Calendar for Cybersecurity Training Changes♦ Notable changes to Cybersecurity training requirements go into effect April 1. The changes are spelled out in the National Futures Association's recently released…
♦Extra Credit♦ Completing an Exchange Analytics Futures Ethics course does more than satisfy regulatory obligations. Our Initial and Periodic training courses also deliver these valuable Continuing Education credits: CFP®…
♦Serious About Enforcement♦ The Commodity Futures Trading Commission's Division of Enforcement was crystal clear in its recently released Annual Report: Know the rules and play by them, or pay…
♦What the Heck are Futures & Derivatives Anyway?♦ That was the apt title of last week's Better Money Decisions podcast, which featured Exchange Analytics president Larry Israel on host Kate…
♦It's a Wash♦ Earlier this month, TRC World Group agreed to pay a $30,000 settlement for wash trade violations. In its findings, the Chicago Board of Trade Business Conduct…
♦Spoofing Across Multiple Exchanges♦ A series of disciplinary notices released by the CME Business Conduct Committee recently revealed that a trader agreed to a settlement that distributed $75,000, $25,000, $20,000…
♦SEC Action signals End of Identity theft Complacency♦ A cease-and-desist order along with a $1 million fine suggests that the Securities and Exchange Commission is getting serious about enforcing…
♦Our Training Value Proposition♦ We have received a few phone calls asking us whether the FIA’s Safeguarding Customer Funds course is competing with our Customer Protection Rule course. The…
♦Verdict: Not Guilty♦ The recent federal court acquittal of Swiss trader Andre Flotron is a notable event in light of the avalance of indictments, convictions, fines and settlements for…
♦It's Just Cheaper on the Front End♦ In a new video, former Federal Prosecutor Renato Mariotti cuts to the chase on compliance training: “It’s just cheaper on the front…
♦Who Needs What, and When?♦ Who is required to take Anti-Money Laundering and Cybersecurity compliance training? We're asked that question a lot. If ongoing training for your firm is…
♦The ABCs of the AlphaBit Settlement♦ "It shall be an offense for any party to fail to diligently supervise its employees and agents in the conduct of their business…
♦Don't Overlook Post-Execution Allocation Rules♦ Attorneys Liz Lyons and Mitch Goldberg call it a "...cautionary tale for Futures Commission Merchants, and other registrants, about the importance of training, updating…
♦Spoofing, Surveillance, Supervision, Training♦ Training on spoofing and other disruptive trading practices "... cannot be 'check the box' training. The programs need to be strong and periodically assessed and…
♦Spoofing and the U.S. Supreme Court♦ The first person convicted under the anti-spoofing provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act has been denied a hearing…
♦NFA: AML Kid Gloves Are Coming Off♦ The National Futures Association is apparently taking a tougher stance on Anti-Money Laundering program deficiencies. Yesterday's Notice to Members I-18-11 puts FCMs and…
♦Third-Party Vendor Blues♦ An FCM develops a robust Information System Security Program that requires assessment of potential vulnerabilities in its computer systems. The firm hires a third-party IT provider…
♦The Market Conduct Mantra♦ In a recent issue of his Bridging the Week newsletter, Gary DeWaal coined this mantra: "Training, training and more training -- and make it specific!"…
♦CFTC Stance: "No Pause, No Letup"♦ In 2017, the Commodity Futures Trading Commission (CFTC) collected total monetary sanctions of more than $413 million. And according to CFTC Chairman Christopher Giancarlo,…
♦Are You Ready for the AML Compliance Deadline?♦ Mark your compliance calendar for May 11! That’s the date on which compliance with new FinCEN Anti-Money Laundering rules (published May…
♦And so is the Firm's Responsibility to Detect and Prevent Infractions♦ When Clifford Histed was deputy chief of the Securities and Commodities Fraud Section of the U.S. Attorney’s Office,…
♦Providing In-Depth Coverage♦ Market Conduct is an important component of the CFTC’s Statement of Acceptable Practices, however there are many other areas that a Futures Ethics course must address.…
♦Market Conduct Course Protects Against "Failure to Supervise"♦ Increasingly, firms are being slapped with "failure to supervise" and "insufficient training" charges for the indiscretions of their brokers, proprietary traders…
♦Designed for the RMLO Industry♦ Our Anti-Money Laundering course was designed specifically for the Non-Bank Residential Mortgage Lending and Origination (RMLO) industry. It's delivered online and taken on-demand. Since…
Our brand new Initial Futures Ethics course covers all the latest requirements in a comprehensive, interactive format. Click the image below for short preview and see why more than…
♦View a Video Preview♦ The new Exchange Analytics Anti-Money Laundering training course has a fresh look! We've added interactive features and highlighted recent regulatory actions and disciplinary cases. Things…
♦Noncompetitive Trading is Prohibitted. Except When It's Not♦ If your firm or any of its customers engage in authorized non-competitive trading (block trading and EFRPs), you'd better know the rules. One…
♦Is Your Firm Up-to-Date?♦ Who needs cybersecurity training? Regulators of financial services firms across the board have either mandated training or emphasized that training is an important part of a…
♦Who Needs Training?♦ The #1 question we're asked The day before new Information Systems Security (Cybersecurity) regulations went into effect on March 1, 2016, the National Futures Association cleared…
♦Does Your Firm Need Help?♦ If your firm is required to have an Anti-Money Laundering program in place, it is also required to conduct an annual independent audit of…
♦Cybersecurity Requirements Are Here to Stay♦ Since we launched our Information Systems Security (Cybersecurity) course just over four months ago, more than 3,000 people have completed the training. There…
♦"The Greatest Systemic Risk"♦ Exchange Analytics Inc., the premier provider of training programs for the futures and derivatives industry, has announced the launch of a web-based cybersecurity training course for…
♦Customer Protection Rules Covered♦ Exchange Analytics Inc., the premier provider of training courses for the futures and derivatives industry, announces the launch of a web-based course for Futures Commission…
