CFTC Announces Examination Priorities
For the first time, the Division of Market Oversight (DMO) for the CFTC has published its exam priorities for 2019. […]
SEC Review Bitwise Bitcoin ETF
In a February 11th notice, the SEC launched a review of the Bitwise Bitcoin ETF. They are looking into a […]
FINRA 2019 Risk Monitoring & Priorities Letter
Every year, FINRA publishes its Annual Risk Monitoring and Exam Priorities to highlight issues to its regulatory programs. This year’s […]
FINRA warns Broker Dealers of an Email Phishing Scam
FINRA has recently warned Broker Dealers to be on alert for an email targeting their compliance personnel. The email appears […]
Broker Dealers: Update Compliance Program
In order to improve and update Broker Dealer compliance programs, we have put together a brief summary of new and […]
CFTC Wants the Info on Crypto-Market
CFTC Wants Info on Crypto-Market In December, the CFTC put out a request of information “asking for public feedback on […]
Cyberthieves Shouldn’t Pull on SECs Cape
he SEC took action against nine defendants in the regulator’s 2016 Edgar system hacking. “The SEC’s complaint alleges that after […]
Commodity Pool Operators Internal Controls System: NFA Compliance Rule…
Effective April 1, 2019 all Commodity Pool Operators having the ability to control customer funds must adopt and implement an […]
NFA Amends Cybersecurity Programs
Beefing Up Cybersecurity On Jan. 7, 2019 the NFA issued an amendment to the Information Systems Security Programs notice that […]