♦The ABCs of the AlphaBit Settlement♦ “It shall be an offense for any party…
News
A “Cautionary Tale” About Post-Execution Allocations
♦Don’t Overlook Post-Execution Allocation Rules♦ Attorneys Liz Lyons and Mitch Goldberg call it a…
Market Conduct Can’t Be “Check the Box” Training
♦Spoofing, Surveillance, Supervision, Training♦ Training on spoofing and other disruptive trading practices “… cannot…
All the Way to the Supreme Court
♦Spoofing and the U.S. Supreme Court♦ The first person convicted under the anti-spoofing provision…
NFA Sharpens Its Teeth on AML Deficiencies
♦NFA: AML Kid Gloves Are Coming Off♦ The National Futures Association is apparently taking…
Who’s Left Holding the Bag? The FCM, of Course
♦Third-Party Vendor Blues♦ An FCM develops a robust Information System Security Program that requires…
The New Mantra for Market Conduct Compliance
♦The Market Conduct Mantra♦ In a recent issue of his Bridging the Week newsletter,…
When Regulators Come Knocking
♦CFTC Stance: “No Pause, No Letup”♦ In 2017, the Commodity Futures Trading Commission (CFTC) collected…