The U.S. Commodity Futures Trading Commission issued three orders filing and simultaneously settling charges against three indivi...
CN Editor
October 01, 2019
COURT REJECTS EX-REP"S APPEAL OF FRAUD CONVICTION
SEJEAN REID AND WHITNEY CHARLES CHARGED WITH FRAUD AND MONEY LAUNDERING
SEC AND CFTC JOINTLY PROPOSE AMENDMENTS TO REDUCE PRIVATE FUND REPORTING BURDENS
FRAUD CONVICTION THAT FOLLOWED INITIAL ACQUITTAL FACES NEW APPEAL
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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