Carl Ayers
With more than 40 sessions on regulatory developments and priorities, FINRA’s annual conference is a smorgasbord for hungry compliance officers to feast on. Here are ...
If at first you don’t succeed … The CFTC has released a new proposed rule on position limits for derivatives that amends its 2013 ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing revisions and additions to regulations and guidance proposed in 2013 concerning speculative position limits in ...
If you’re a Windows user, you’ve no doubt seen the recent exhortations by Microsoft to upgrade to Windows 10. Click carefully. An attendee at ...
You’ve been put on notice: The SEC will soon hike to $2.1 million the net worth test defining a “qualified client.” This is important should ...
It appears that no one’s enamored by the CFTC’s new rule offering substituted compliance for certain cross-border uncleared swaps trades but the industry will have ...
Forgot about tone at the top; this was keep compliance in the dark. The CFTC May 25 announced two settlements against Citibank and its ...
On January 6, 2016, the Commodity Futures Trading Commission (“Commission” or “CFTC”) published final regulations to implement section 4s(e) of the Commodity Exchange Act, which ...