Rule requires P&Ps to protect customer records and information
You're directed to report “if your cloud service providers have been affected by this attack"
RELEASE Number 8062-19 October 24, 2019 CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...
New guidance from the SRO reminds exempt CPOs/CTAs how the affirmation process works and answers FAQs
The SRO provides two steps to check on registration/exemption status
“The industry looks to these types of resolutions in structuring their own compliance” programs
Gain greater insight into how to do your break-even analysis for the NFA
New rules take effect with the first of the year
The Commodity Futures Trading Commission (‘‘CFTC’’) and the Securities and Exchange Commission (‘‘SEC’’) (collectively, the ‘‘Commissions’’) are proposing amendments to regulations that establish minimum customer ...
(a) Exemption for transactions with portfolio affiliates. A transaction to which a fund, or a company controlled by a fund, and a portfolio affiliate of ...