
CTA Expo Chicago – Join Mike Coglianese for a…
The CTA Expo Emerging Manager Forum will be held in Chicago on September 14, 2017 at the UBS Center, One […]

NIBA Chicago 2017 – New topics for discussion
NIBA will be hosting their annual pinnacle event in Chicago on September 14, 2017 at the CME building, 20 S. […]

DOL Fiduciary Rule In Place…For Now
The Department of Labor’s new regime has met some resistance on changing its own Fiduciary Rule that went live on […]

Risk Metrics for FCMs That Do Swaps
NFA Financial Requirements Section 17 requires swap dealers (SD) and major swap participants (MSP) to file the financial, operational, risk management […]

Dodd Frank Update
Dodd-Frank, born of the fires ignited by the 2008 Financial Crisis, has had a rocky existence, from its writing and […]

Compliance Reminders
Anti Money Laundering Annual Review Every Independent Introducing Broker and Futures Commission Merchant must have an Independent AML Review every […]

Investment Advisor Custodial Agreements could mean “surprise exams” by…
When they say the devil is in the details, take it to heart; especially investment advisors who have separate custodial […]

FinCEN issues an advisory on AML/CFT deficiencies
On April 5, 2017, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force […]

President issues executive order regarding review of regulations
On April 21, 2017 the President signed an executive order requiring the Secretary of the Treasury to review all regulations […]