The de miminis threshold was set in 2012 by the CFTC and the SEC jointly. At that time, the agencies had limited data on the ...
To allow adequate time for consideration of comments on the Proposed Order, the Divisions are further extending the No-Action Relief. Moreover, the Divisions note that ...
DMO believes that Yieldbroker’s operating rules, working in conjunction with Yieldbroker’s AML would provide transactions that are executed on Yieldbroker’s trading platform with a level ...
The evidence at trial established that Reisinger made fraudulent misrepresentations and omissions to actual and prospective pool participants, including that she was exempt from the ...
The Defendants concealed their fraud, comingling, and misappropriation by issuing false monthly statement to pool participants, including distributing to pool participants periodic statements and annual ...
The risk of cyberattack probably represents the single greatest threat to the stability and integrity of our markets today. Instances of cyberattacks are all too ...
The risk of cyberattack probably represents the single greatest threat to the stability and integrity of our markets today. Instances of cyberattacks are all too ...
Cybersecurity is a top concern for American companies, especially financial firms. These rules are a good step forward in addressing these concerns.
I note approvingly that the Commission has alleviated some burdens from the proposed rulemaking such as increasing the frequency of key controls testing from ...
It’s important to remember that we are still at the early stages of developing this new global framework. Shortly after I took office two years ...