We have received a few phone calls asking us whether the FIA’s Safeguarding Customer…
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The Clear Choice of FCMs for CPR Training
Were you aware that Exchange Analytics provides Customer Protection Rule training to 80% of…
Verdict: Not Guilty
The recent federal court acquittal of Swiss trader Andre Flotron is a notable event…
It’s Just Cheaper on the Front End
In a new video, former Federal Prosecutor Renato Mariotti cuts to the chase on…
#1 Question we’re asked: Who needs what?
Who is required to take Anti-Money Laundering and Cybersecurity compliance training? We’re asked that…
When Supervision is Less Than Super
“It shall be an offense for any party to fail to diligently supervise its…
A “cautionary tale” about post-execution allocations
Attorneys Liz Lyons and Mitch Goldberg call it a “…cautionary tale for Futures Commission…
Spoofing, Surveillance, Supervision, Training
Training on spoofing and other disruptive trading practices “… cannot be ‘check the box’ training….