The Commodity Futures Trading Commission announced a jury in the Southern District of Texas issued a verdict finding Andrew Gizie...
CN Editor
August 17, 2022
SEC AND CFTC JOINTLY PROPOSE AMENDMENTS TO REDUCE PRIVATE FUND REPORTING BURDENS
OSC REACHES SETTLEMENT WITH LIQUIDNET CANADA FOR CONFIDENTIALITY BREACHES
NBF SANCTIONED FOR SUPERVISORY SHORTCOMINGS
CFTC ANNOUNCES INNOVATION TASK FORCE STAFF
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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