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New AML Course Now Available

  ♦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 change fast in the AML arena. Our course will bring your staff up-to-speed on changing…
Charlie Frank
September 20, 2017
News

When Noncompetitive Trading Is OK

♦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 misstep among the maze of complex regulations can have devastating consequences. Did you read about…
Charlie Frank
April 24, 2017
News

Cybersecurity Training Release with Important Updates

♦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 firm’s cybersecurity practices. To meet this challenge, we released the 2017 version of our Cybersecurity…
Charlie Frank
March 30, 2017
News

Understanding the Cybersecurity Landscape

  ♦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 up some of the uncertainty regarding the new regulations with a February 29 Notice to…
Charlie Frank
August 2, 2016
News

Independent AML Audits

  ♦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 the program. The two go hand-in-hand. An AML audit is a test of whether your…
Charlie Frank
July 14, 2016
News

Has Your Firm Fulfilled Its Cybersecurity Requirements?

  ♦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 is widespread recognition that NFA's cybersecurity regulations may be the most important ruleset to come…
Charlie Frank
July 7, 2016
News

Cybersecurity Training Program to Satisfy New Requirement

  ♦"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 all financial industry participants registered with the National Futures Association (NFA). This course is the…
it@bakemorepies.com
February 26, 2016
News

EA Launches Industry’s First CPR Training Program

  ♦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 Merchants (FCMs). It is the first course available for satisfying the training requirement of the…
it@bakemorepies.com
September 15, 2014