Regulators not “letting up” amid Covid
Regulators are becoming more adept at remote market surveillance on pace with the financial industry’s…
adminOctober 23, 2020
Exchange Analytics Co-Hosts Annual Chicago Conference
On October 20, 2020, Exchange Analytics co-hosted our Annual Chicago Conference on Futures and Derivatives…
adminOctober 22, 2020
Exchange Analytics Welcomes Industry Veteran Joe Adamczyk
♦Announcing New Leadership♦ Exchange Analytics, a leading provider of regulatory compliance training and support services,…
Joseph AdamczykJuly 18, 2020
The cost of “Failure to Train”
♦Failure to Train Comes at a Price♦ New York Mercantile Exchange Business Conduct Committee…
Joseph AdamczykMay 5, 2020
Failure to Train = Failure to Supervise
♦Avoid the Failure-to-Supervise Trap♦ Increasingly, regulators are viewing a failure to train employees as…
Joseph AdamczykMarch 6, 2020
AML Audits From Our Affiliate EA Compliance
♦Anti-Money Laundering audits is all they do!♦ As you know, an independent AML performance…
Joseph AdamczykFebruary 20, 2020
Just released: New Anti-Money Laundering course
♦Death, Taxes and AML Training♦ If your firm is an FCM, IB or BD, one…
Joseph AdamczykNovember 7, 2019
Our Commitment to a Great Cause
♦AML Training for Habitat for Humanity Greater Orlando & Osceola County♦ Exchange Analytics was…
Joseph AdamczykOctober 17, 2019
