The CFTC issued an order filing and settling charges against ARMKAT LLC, located in Winnetka, Illinois, for violating spot-month ...
CN Editor
September 26, 2019
CFTC ANNOUNCES INNOVATION TASK FORCE STAFF
OSC ANNOUNCES ALLEGATIONS AGAINST EMERITA RESOURCES CORP. AND ASSOCIATED INDIVIDUALS
SEC NAMES NEW ENFORCEMENT CHIEF
CIRO ALLEGES UNAUTHORIZED TRANSACTION AND PERSONAL FINANCIAL DEALINGS BY FORMER SCOTIA SECURITIES REP FROM OTTAWA, ON
Thank you for the feedback!!
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