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Just Released: Market Conduct Training Course

  ♦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 and even their customers. Recent cases resulting in large fines -- and for the first…
Charlie Frank
November 13, 2017
News

AML Training Course for Mortgage Lenders

  ♦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 2012, the RMLO industry has been required to offer initial and ongoing AML training for…
Charlie Frank
November 8, 2017
News

New Initial Futures Ethics Training Course

  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 75% of U.S. FCMs trust Exchange Analytics for regulatory and compliance training. CFTC regulations require…
Charlie Frank
October 13, 2017
News

New AML Course Now Available

  ♦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 change fast in the AML arena. Our course will bring your staff up-to-speed on changing…
Charlie Frank
September 20, 2017
News

When Noncompetitive Trading Is OK

♦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 misstep among the maze of complex regulations can have devastating consequences. Did you read about…
Charlie Frank
April 24, 2017
News

Cybersecurity Training Release with Important Updates

♦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 firm’s cybersecurity practices. To meet this challenge, we released the 2017 version of our Cybersecurity…
Charlie Frank
March 30, 2017
News

Understanding the Cybersecurity Landscape

  ♦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 up some of the uncertainty regarding the new regulations with a February 29 Notice to…
Charlie Frank
August 2, 2016
News

Independent AML Audits

  ♦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 the program. The two go hand-in-hand. An AML audit is a test of whether your…
Charlie Frank
July 14, 2016