Compliance Reminders

Anti Money Laundering Annual Review Every Independent Introducing Broker and Futures Commission Merchant must have an Independent AML Review every 12 months.  This must be done by either an outside compliance specialist or an internal source that is completely removed…

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Dodd Frank Update

Dodd-Frank, born of the fires ignited by the 2008 Financial Crisis, has had a rocky existence, from its writing and passage to its lengthy and still uncompleted implementation. With Republicans controlling both houses of Congress, the push is on to…

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