The Commodity Futures Trading Commission filed a civil enforcement action in the U.S. District Court for the Central District of ...
CN Editor
May 25, 2023
FIRM AVOIDS HEFTY FCA FINE WITH LARGE CLIENT PAYOUT
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
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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