The CFTC issued an Order filing and settling charges against Vision Financial Markets LLC (Vision), a securities broker dealer lo...
CN Editor
July 15, 2019
SEC AND CFTC JOINTLY PROPOSE AMENDMENTS TO REDUCE PRIVATE FUND REPORTING BURDENS
NBF SANCTIONED FOR SUPERVISORY SHORTCOMINGS
CFTC ANNOUNCES INNOVATION TASK FORCE STAFF
CFTC SUES TRIO OF STATES TO REAFFIRM ITS EXCLUSIVE JURISDICTION OVER PREDICTION MARKETS
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS