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"
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
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls ...
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first ...
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore. In a new enforcement settlement, Graham and his ...