NFA Sharpens Its Teeth on AML Deficiencies
♦NFA: AML Kid Gloves Are Coming Off♦ The National Futures Association is apparently taking…
Joseph AdamczykMay 23, 2018
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…
Joseph AdamczykApril 5, 2018
The New Mantra for Market Conduct Compliance
♦The Market Conduct Mantra♦ In a recent issue of his Bridging the Week newsletter,…
Joseph AdamczykMarch 31, 2018
When Regulators Come Knocking
♦CFTC Stance: "No Pause, No Letup"♦ In 2017, the Commodity Futures Trading Commission (CFTC) collected…
Joseph AdamczykFebruary 20, 2018
AML Compliance Deadline is Looming
♦Are You Ready for the AML Compliance Deadline?♦ Mark your compliance calendar for May…
Joseph AdamczykFebruary 5, 2018
The Anti-Spoofing Rule is Here to Stay
♦And so is the Firm's Responsibility to Detect and Prevent Infractions♦ When Clifford Histed…
Joseph AdamczykJanuary 9, 2018
Why Bother with Market Conduct Training?
♦Providing In-Depth Coverage♦ Market Conduct is an important component of the CFTC’s Statement of…
Joseph AdamczykNovember 27, 2017
Just Released: Market Conduct Training Course
♦Market Conduct Course Protects Against "Failure to Supervise"♦ Increasingly, firms are being slapped with…
Joseph AdamczykNovember 13, 2017
