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Annual Cybersecurity Training: It’s the Law

♦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 Notice to Members I-19-0, which amends the Interpretive Notice Regarding Information Systems Security Programs -…
Charlie Frank
January 29, 2019
News

CE Credits Are Baked In The Ethics Cake

  ♦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® CE Credits: The Certified Financial Planner Board accepts our Initial Futures Ethics course for two…
Charlie Frank
January 2, 2019
News

CFTC Enforcement Report an Eye-Opener

  ♦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 the price. In fiscal year 2018 ended Sept. 30, CFTC disclosed the following eye-openers: •…
Charlie Frank
December 13, 2018
News

Podcast Featuring Larry Israel

♦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 Stalter's show. Larry's drew from his 40 years of experience at the Chicago Board of…
Charlie Frank
November 13, 2018
News

Avoid violations, mitigate consequences

  ♦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 Committee noted that in addition to the trade infractions, "...TRC failed to provide compliance training…
Charlie Frank
October 19, 2018
News

Another trader dinged for spoofing

♦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 and $5,000 to four exchanges – all for the same prohibited activity. Yuchun Bruce Mao,…
Charlie Frank
October 15, 2018
News

Identity Theft – Next Regulatory Frontier?

  ♦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 the identity theft prevention rules it adopted jointly with the Commodity Futures Trading Commission five…
Charlie Frank
October 11, 2018
News

All the Right Reasons to Use Exchange Analytics Training

  ♦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 answer is yes. But we’ve always believed competition is a good thing, because it encourages…
Charlie Frank
October 2, 2018