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Exchange Analytics Launches Cyber Advisory Group

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Decades of Field Experience Will Help Clients Better Manage Their Cybersecurity Regulatory and Compliance Challenges   Sarasota, FL (October 25, 2021) - Exchange Analytics (XA), a leader in futures/derivatives and…

A Practitioner’s Guide to Managing and Measuring Compliance Risk

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  How do top security managers respond when the CEO asks: “Are we compliant?”  Will the response change if a regulator asks the question during an examination?  Or an attorney…

Exchange Analytics and Ekur Advisors Announce Strategic Partnership

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Exchange Analytics, a leading provider of regulatory compliance training and support services, today announced a strategic partnership with Ekur Advisors, a Geneva-based boutique advisory firm specializing in governance, risk and…

Hope for a Brighter Future for Military Spouse Employment

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  In early March 2020, just weeks before the United States shut down due to COVID-19, former Second Lady Karen Pence visited Tampa, Florida, and spoke on the importance of…

Regulators not “letting up” amid Covid – Exchange Analytics President Joe Adamczyk interviewed by Global Investor Group/FOW

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  Regulators are becoming more adept at remote market surveillance on pace with the financial industry’s ongoing adaptation to working from home, according to the chief executive of Exchange Analytics,…

Exchange Analytics Co-Hosts Annual Chicago Conference on Futures and Derivatives

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On October 20, 2020, Exchange Analytics co-hosted our Annual Chicago Conference on Futures and Derivatives with Thompson Coburn LLP. Attendees heard industry experts discuss the latest regulatory and enforcement developments…

Megan Conley Joins Exchange Analytics Team

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  ♦Welcome Megan Conley♦ Exchange Analytics, a leading provider of regulatory compliance training and support services, is pleased to announce that Megan Conley has joined the company as Head of…

Exchange Analytics Welcomes Industry Veteran Joe Adamczyk

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  ♦Announcing New Leadership♦ Exchange Analytics, a leading provider of regulatory compliance training and support services, welcomes Joe Adamczyk as its new president. Mr. Adamczyk assumes company leadership from Larry…

The cost of “Failure to Train”

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  ♦Failure to Train Comes at a Price♦ New York Mercantile Exchange Business Conduct Committee panels issued three disciplinary actions effective last Friday that highlight the consequences of inadequate employee…

Failure to Train = Failure to Supervise

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  ♦Avoid the Failure-to-Supervise Trap♦ Increasingly, regulators are viewing a failure to train employees as a supervisory lapse. For example, disciplinary actions issued Jan. 30 by the NYMEX Business Conduct…

AML Audits From Our Affiliate EA Compliance

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  ♦Anti-Money Laundering audits is all they do!♦ As you know, an independent AML performance test is one of the five pillars of an effective AML program. Our affiliate EA…

CFTC Enforcement shows its teeth in 2019

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♦Market Manipulators are Playing with Fire♦ The Commodity Futures Trading Commission's Division of Enforcement delivered a strong message to derivatives market participants in its Annual Report released earlier this month:…

Haven’t done your 2019 Cybersecurity training? Not to worry

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  ♦You're Still on Schedule to Deliver 2019 Cybersecurity Training♦ If your firm's employees have access to computers or the physical premises (a.k.a. just about everyone), you are obligated to…

Our Commitment to a Great Cause

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  ♦AML Training for Habitat for Humanity Greater Orlando & Osceola County♦ Exchange Analytics was delighted to provide its "Anti-Money Laundering for Retail Mortgage Lenders and  Originators" course to Habitat…

Video: Exchange Analytics’ Larry Israel at World of Opportunity

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  ♦Perspectives from Marketswiki Education World of Opportunity♦ John Lothian Productions has just released a video of the July 16 presentation by Exchange Analytics president Larry Israel at the Marketswiki…

New Anti-Money Laundering Course for Mortgage Brokers & Lenders

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♦New Anti-Money Laundering Course for Mortgage Brokers & Lenders♦ Our new AML course for Retail Mortgage Originators and Lenders was written by two Certified Anti-Money Laundering Specialists (CAMS). This is…

What the heck does “annual” mean, anyway?

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  ♦AML and Cybersecurity: A Tale of Two Deadlines♦ Earlier this year the National Futures Association published Cybersecurity FAQs to provide guidance supplemental to its Interpretive Notice on information systems security.…

Just released: New Anti-Money Laundering course

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  ♦Death, Taxes and AML Training♦ If your firm is an FCM, IB or BD, one of life's certainties is that your employees (those involved in account solicitation, account opening, customer…

A Must-Read: CFTC Enforcement Manual

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  ♦An Agency First: CFTC DOE Enforcement Manual♦ The new Enforcement Manual issued by the Commodity Futures Trading Commission's Division of Enforcement is a significant 59-page document. It consolidates a…

“Regulatory creep” on the spoofing front

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  ♦U.S. vs. Thakkar: Non-Traders Beware♦ One of the most fascinating panel discussions at last week's Futures Industry Association Law & Compliance Conference in Washington, D.C. focused on the recent…

You Better Know the Nuances

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  ♦Market Conduct Update: Pre-Open Guidance♦ CME Group released a Market Regulation Advisory last week to provide guidance on Globex pre-open activity. The advisory, which becomes effective April 25, covers…

CME Advisory: EFRPs Better Be Bona Fide

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  ♦CME Advisory: Off-Market EFRPs Will Be Scrutinized♦ In an amended Market Regulation Advisory Notice that became effective yesterday, CME Group tightened the screws on Exchange for Related Position (EFRP)…

CFTC 2019 Exam Priorities

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  ♦An Overview of CFTC 2019 Exam Priorities♦ (The following article was posted on February 19, 2019 in Securities Law Perspectives by Nicholas J. Wendland, and is reprinted with his…

An Ounce of Prevention is Worth a Pound of Cure

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♦Block Out the Big Penalty♦ When the NYMEX Business Conduct Committee fined an introducing broker Jan. 31 for block trade reporting violations, the panel found that, among other issues, the…

Annual Cybersecurity Training: It’s the Law

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♦Mark Your Calendar for Cybersecurity Training Changes♦ Notable changes to Cybersecurity training requirements go into effect April 1. The changes are spelled out in the National Futures Association's recently released…

CE Credits Are Baked In The Ethics Cake

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  ♦Extra Credit♦ Completing an Exchange Analytics Futures Ethics course does more than satisfy regulatory obligations. Our Initial and Periodic training courses also deliver these valuable Continuing Education credits: CFP®…

CFTC Enforcement Report an Eye-Opener

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  ♦Serious About Enforcement♦ The Commodity Futures Trading Commission's Division of Enforcement was crystal clear in its recently released Annual Report: Know the rules and play by them, or pay…

Podcast Featuring Larry Israel

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♦What the Heck are Futures & Derivatives Anyway?♦ That was the apt title of last week's Better Money Decisions podcast, which featured Exchange Analytics president Larry Israel on host Kate…

Avoid violations, mitigate consequences

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  ♦It's a Wash♦ Earlier this month, TRC World Group agreed to pay a $30,000 settlement for wash trade violations. In its findings, the Chicago Board of Trade Business Conduct…

Another trader dinged for spoofing

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♦Spoofing Across Multiple Exchanges♦ A series of disciplinary notices released by the CME Business Conduct Committee recently revealed that a trader agreed to a settlement that distributed $75,000, $25,000, $20,000…

Identity Theft – Next Regulatory Frontier?

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  ♦SEC Action signals End of Identity theft Complacency♦ A cease-and-desist order along with a $1 million fine suggests that the Securities and Exchange Commission is getting serious about enforcing…

All the Right Reasons to Use Exchange Analytics Training

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  ♦Our Training Value Proposition♦ We have received a few phone calls asking us whether the FIA’s Safeguarding Customer Funds course is competing with our Customer Protection Rule course. The…

A Close Look at a Spoofing Acquittal

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  ♦Verdict: Not Guilty♦ The recent federal court acquittal of Swiss trader Andre Flotron is a notable event in light of the avalance of indictments, convictions, fines and settlements for…

New Video

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  ♦It's Just Cheaper on the Front End♦ In a new video, former Federal Prosecutor Renato Mariotti cuts to the chase on compliance training: “It’s just cheaper on the front…

#1 Question We’re Asked

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  ♦Who Needs What, and When?♦ Who is required to take Anti-Money Laundering and Cybersecurity compliance training? We're asked that question a lot. If ongoing training for your firm is…

When Supervision is Less Than Super

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  ♦The ABCs of the AlphaBit Settlement♦ "It shall be an offense for any party to fail to diligently supervise its employees and agents in the conduct of their business…

A “Cautionary Tale” About Post-Execution Allocations

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  ♦Don't Overlook Post-Execution Allocation Rules♦ Attorneys Liz Lyons and Mitch Goldberg call it a "...cautionary tale for Futures Commission Merchants, and other registrants, about the importance of training, updating…

Market Conduct Can’t Be “Check the Box” Training

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  ♦Spoofing, Surveillance, Supervision, Training♦ Training on spoofing and other disruptive trading practices "... cannot be 'check the box' training. The programs need to be strong and periodically assessed and…

All the Way to the Supreme Court

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  ♦Spoofing and the U.S. Supreme Court♦ The first person convicted under the anti-spoofing provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act has been denied a hearing…

NFA Sharpens Its Teeth on AML Deficiencies

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  ♦NFA: AML Kid Gloves Are Coming Off♦ The National Futures Association is apparently taking a tougher stance on Anti-Money Laundering program deficiencies. Yesterday's Notice to Members I-18-11 puts FCMs and…

Who’s Left Holding the Bag? The FCM, of Course

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  ♦Third-Party Vendor Blues♦ An FCM develops a robust Information System Security Program that requires assessment of potential vulnerabilities in its computer systems. The firm hires a third-party IT provider…

The New Mantra for Market Conduct Compliance

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  ♦The Market Conduct Mantra♦ In a recent issue of his Bridging the Week newsletter, Gary DeWaal coined this mantra: "Training, training and more training -- and make it specific!"…

When Regulators Come Knocking

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♦CFTC Stance: "No Pause, No Letup"♦ In 2017, the Commodity Futures Trading Commission (CFTC) collected total monetary sanctions of more than $413 million. And according to CFTC Chairman Christopher Giancarlo,…

AML Compliance Deadline is Looming

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  ♦Are You Ready for the AML Compliance Deadline?♦ Mark your compliance calendar for May 11! That’s the date on which compliance with new FinCEN Anti-Money Laundering rules (published May…

The Anti-Spoofing Rule is Here to Stay

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  ♦And so is the Firm's Responsibility to Detect and Prevent Infractions♦ When Clifford Histed was deputy chief of the Securities and Commodities Fraud Section of the U.S. Attorney’s Office,…

Why Bother with Market Conduct Training?

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  ♦Providing In-Depth Coverage♦ Market Conduct is an important component of the CFTC’s Statement of Acceptable Practices, however there are many other areas that a Futures Ethics course must address.…

Just Released: Market Conduct Training Course

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  ♦Market Conduct Course Protects Against "Failure to Supervise"♦ Increasingly, firms are being slapped with "failure to supervise" and "insufficient training" charges for the indiscretions of their brokers, proprietary traders…

AML Training Course for Mortgage Lenders

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  ♦Designed for the RMLO Industry♦ Our Anti-Money Laundering course was designed specifically for the Non-Bank Residential Mortgage Lending and Origination (RMLO) industry. It's delivered online and taken on-demand. Since…

New Initial Futures Ethics Training Course

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  Our brand new Initial Futures Ethics course covers all the latest requirements in a comprehensive, interactive format. Click the image below for short preview and see why more than…

New AML Course Now Available

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  ♦View a Video Preview♦ The new Exchange Analytics Anti-Money Laundering training course has a fresh look! We've added interactive features and highlighted recent regulatory actions and disciplinary cases. Things…

When Noncompetitive Trading Is OK

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♦Noncompetitive Trading is Prohibitted.  Except When It's Not♦ If your firm or any of its customers engage in authorized non-competitive trading (block trading and EFRPs), you'd better know the rules. One…

Cybersecurity Training Release with Important Updates

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♦Is Your Firm Up-to-Date?♦ Who needs cybersecurity training? Regulators of financial services firms across the board have either mandated training or emphasized that training is an important part of a…

Understanding the Cybersecurity Landscape

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  ♦Who Needs Training?♦ The #1 question we're asked The day before new Information Systems Security (Cybersecurity) regulations went into effect on March 1, 2016, the National Futures Association cleared…

Independent AML Audits

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  ♦Does Your Firm Need Help?♦ If your firm is required to have an Anti-Money Laundering program in place, it is also required to conduct an annual independent audit of…

Has Your Firm Fulfilled Its Cybersecurity Requirements?

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  ♦Cybersecurity Requirements Are Here to Stay♦ Since we launched our Information Systems Security (Cybersecurity) course just over four months ago, more than 3,000 people have completed the training. There…

Cybersecurity Training Program to Satisfy New Requirement

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  ♦"The Greatest Systemic Risk"♦ Exchange Analytics Inc., the premier provider of training programs for the futures and derivatives industry, has announced the launch of a web-based cybersecurity training course for…

EA Launches Industry’s First CPR Training Program

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  ♦Customer Protection Rules Covered♦ Exchange Analytics Inc., the premier provider of training courses for the futures and derivatives industry, announces the launch of a web-based course for Futures Commission…