On April 18, 2018 join us in attending a unique Forum for entrepreneurs, attorneys, finance professionals, investors, fund managers, regulators, and business executives interested in networking within the Crypto currency space. The Forum will be held at the Stewart Hotel…
Events & News
AML Program Updates for FCMs, Introducing Brokers, & Broker Dealers
Effective May 11, 2018, enhanced Customer Due Diligence (CDD) requirements will be amended for certain financial institutions. This new CDD Rule amends current AML programs and adds a pillar to the current requirements within the AML Program. These updates apply to…
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 providing more clarification. In a 2-1 decision to vacate the rule, it looks like implementation DOL Fiduciary rule will likely never…
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, there had been concern that Dodd Frank had a negative impact on smaller banks and credit union. The concern was…