Who is required to take Anti-Money Laundering and Cybersecurity compliance training? We’re asked that…
News
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….
All the Way to the Supreme Court
The first person convicted under the anti-spoofing provision of the Dodd-Frank Wall Street Reform…
NFA sharpens its teeth on AML deficiencies
The National Futures Association is apparently taking a tougher stance on Anti-Money Laundering program deficiencies….
Third-Party Vendor Blues
An FCM develops a robust Information System Security Program that requires assessment of potential…
The Market Conduct Mantra
In a recent issue of his Bridging the Week newsletter, Gary DeWaal coined this…