News

  ♦Spoofing, Surveillance, Supervision, Training♦ Training on spoofing and other disruptive trading practices "... cannot…

  ♦Spoofing and the U.S. Supreme Court♦ The first person convicted under the anti-spoofing provision…

  ♦NFA: AML Kid Gloves Are Coming Off♦ The National Futures Association is apparently taking…

  ♦Third-Party Vendor Blues♦ An FCM develops a robust Information System Security Program that requires…

  ♦The Market Conduct Mantra♦ In a recent issue of his Bridging the Week newsletter,…

♦CFTC Stance: "No Pause, No Letup"♦ In 2017, the Commodity Futures Trading Commission (CFTC) collected…

  ♦Are You Ready for the AML Compliance Deadline?♦ Mark your compliance calendar for May…

  ♦And so is the Firm's Responsibility to Detect and Prevent Infractions♦ When Clifford Histed…