GCSI 2019 Cyber Security Conference
GCSI is returning this year after bringing together executives, thought leaders, and experts from Chicago's F500 companies and government entities at our first conference in 2018. This year, we're are…
NFA announces webinar to debut redesigned BASIC system
On Thursday, August 29, NFA will launch its redesigned BASIC system, a free tool that NFA Members and investors can use to research the background of derivatives industry professionals. To…
CFTC Grants Certain AML Relief to IBs that do not introduce customers to FCMs
Written by: Ansley Schrimpf, Mayer Brown This week the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued interpretive guidance to clarify requirements for introducing…
CFTC Washington, DC Visit by Melinda Schramm
On Thursday, May 16, I visited the CFTC Washington DC office for a meeting with Matt Kulkin, Director of the Division of Swap Dealer & Intermediary Oversight, and Tom Smith,…
NFA ISSP Amendments
Reminder: April 1 effective date for amendments to NFA's Interpretive Notice regarding Information Systems Security Programs—instructions for notifying NFA of applicable cybersecurity incidents In January 2019, NFA issued a Notice to…
Disruptive Trading Practices
Disruptive trading practices are prohibited and specifically addressed within CME rules and regulations. CME Group's Market Regulation team has created the following educational course on Distruptive Practices Prohibited. If you…
NIBA Educational Series – Cybersecurity Briefing
The NIBA is pleased to announce the kick off of its educational series. This idea is to cultivate ideas, discussion and networking in an intimate setting throughout the year. This…
NFA adopts Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System
NFA recently adopted an Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System (Interpretive Notice). The Interpretive Notice requires commodity pool operator (CPO) Members, which have the ability…
CME Institute: Market Regulation Course
Market Regulation works to protect market integrity, to enforce rules that protect all market participants, and to act proactively to mitigate risks to prevent damage to the marketplace. Market participants…
FIA Spoofing, Surveillance & Supervision
The CFTC and futures exchanges continue to aggressively pursue “spoofing” cases against traders. When evidence of criminal willful intent exists, they refer certain matters to the Department of Justice for…