♦New Anti-Money Laundering Course for Mortgage Brokers & Lenders♦ Our new AML course for Retail…
News
What the heck does “annual” mean, anyway?
♦AML and Cybersecurity: A Tale of Two Deadlines♦ Earlier this year the National Futures Association…
Just released: New Anti-Money Laundering course
♦Death, Taxes and AML Training♦ If your firm is an FCM, IB or BD, one…
A Must-Read: CFTC Enforcement Manual
♦An Agency First: CFTC DOE Enforcement Manual♦ The new Enforcement Manual issued by the…
“Regulatory creep” on the spoofing front
♦U.S. vs. Thakkar: Non-Traders Beware♦ One of the most fascinating panel discussions at last…
You Better Know the Nuances
♦Market Conduct Update: Pre-Open Guidance♦ CME Group released a Market Regulation Advisory last week…
Our “Bad Actor” bundle
♦Cybersecurity & Identity Theft Prevention: Bundle Up!♦ Cybersecurity and Identity Theft Prevention training are closely…
CME Advisory: EFRPs Better Be Bona Fide
♦CME Advisory: Off-Market EFRPs Will Be Scrutinized♦ In an amended Market Regulation Advisory Notice…