Failure to Train = Failure to Supervise Mar 06, 2020 ♦Avoid the Failure-to-Supervise Trap♦ Increasingly, regulators are viewing a failure to train employees as… Read More
AML Audits From Our Affiliate EA Compliance Feb 20, 2020 ♦Anti-Money Laundering audits is all they do!♦ As you know, an independent AML performance… Read More
CFTC Enforcement shows its teeth in 2019 Dec 23, 2019 ♦Market Manipulators are Playing with Fire♦ The Commodity Futures Trading Commission’s Division of Enforcement delivered… Read More
Haven’t done your 2019 Cybersecurity training? Not to worry Oct 25, 2019 ♦You’re Still on Schedule to Deliver 2019 Cybersecurity Training♦ If your firm’s employees have… Read More
Our Commitment to a Great Cause Oct 17, 2019 ♦AML Training for Habitat for Humanity Greater Orlando & Osceola County♦ Exchange Analytics was… Read More
Video: Exchange Analytics’ Larry Israel at World of Opportunity Sep 10, 2019 ♦Perspectives from Marketswiki Education World of Opportunity♦ John Lothian Productions has just released a… Read More
New Anti-Money Laundering Course for Mortgage Brokers & Lenders Aug 15, 2019 ♦New Anti-Money Laundering Course for Mortgage Brokers & Lenders♦ Our new AML course for Retail… Read More
What the heck does “annual” mean, anyway? Jun 17, 2019 ♦AML and Cybersecurity: A Tale of Two Deadlines♦ Earlier this year the National Futures Association… Read More