Commodity Futures Markets: Updated Research Report on Sharp Price…
The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) issued a report today that analyzed sharp, intraday price […]
Introducing Brokers and FCMs: Increased Customer Due Diligence Now…
As of May 11, 2018 Introducing Brokers and Futures Commission Merchants will be required to have Customer Due Diligence procedures […]
Introducing Brokers and FCMs: Review AML Programs to Address…
The Office of Foreign Assets Control (OFAC), a division of the U.S. Treasury Department has published 5 Frequently Asked Questions […]
AML Program Updates for FCMs, Introducing Brokers, & Broker…
Effective May 11, 2018, enhanced Customer Due Diligence (CDD) requirements will be amended for certain financial institutions. This new CDD Rule […]
DOL Fiduciary Rule Struck Down by 5th Circuit Court
Causing more confusion for brokers, the 5th Circuit court struck down the DOL Fiduciary rule. Meanwhile, the SEC moves toward […]
Senate Votes to Roll Back Some Dodd Frank Rules
Last Wednesday, the Senate voted 67 to 31 to apply sweeping changes to Dodd Frank. Since its signing in 2010, […]
Annual Compliance Reminders
Commodity Trading Advisors 2.14.2018–Form PR (for December 31 year end) 3.1.2018–Affirm CTA exemptions (4.14(a)(8) Anniversary of registration–Self-Examination Checklist Commodity Pool Operators […]
CFTC Commissioner suggests self regulation to Crytocurrency Industry
Brian Quintenz, a commissioner with the CFTC, says the best approach to policing the new crytocurrency companies is for the industry […]
SEC Issues Staff Letter to ICI and SIFMA Regarding…
At the end of January, Dalia Blass, the Director of Investment Management at the SEC issues a staff letter discussing […]