From the Classroom to the Trading Floor
There is no single, clearly defined education path for entering the derivatives industry as professionals come from a range of academic backgrounds. Still, higher education plays a crucial role in…
From Insight to Impact: Building a Risk-Smart Community
With a more complex global environment and continuous financial innovation, new and more sophisticated areas of risk have emerged. At the same time, rapid advances in artificial intelligence (AI) and…
2025 Compliance Outlook
Contributed by: Joe Schifano, Global Head of Regulatory Affairs at Eventus I. Introduction As the new Trump administration takes office in 2025, it brings a shift in leadership across federal…
CFTC Further Narrows Regulation 4.7 Exemption for CTAs and CPOs
Authored by: Jeff Henderson & Doug Arend, Greenberg Traurig Not all IBs operate exclusively as IBs. Some are also registered as CTAs and CPOs because of the nature of their…
JFX Cybersecurity Briefing: Guidelines for AI Usage
Contributed by: John Falck, JFX, LLC AI tools offer many efficiency benefits, but also introduce potential risks such as leakage of confidential data and providing false (“hallucinated”) or inappropriate information.…
Is a New Approach to Off Channel Communications Compliance on the Horizon?
Article Contributed by: John Ruark, Clark Hill The SEC and the CFTC have brought numerous “off channel” communications enforcement actions throughout 2024 for failure to preserve various forms of electronic…
Recent CFTC Order and Dissenting Statement
Contributed by: Braden Perry, KennyHertz Perry, LLC The recent CFTC Order (Release Number 8972-24) and the Dissenting Statement by Commissioner Mersinger raise significant questions about how the Commission interprets the…
AI Innovation in Finance, Agriculture, and Marketing
Author: Shane Stiles, President, Gate 39 Media As a marketing and technology agency serving financial and agricultural clients, Gate 39 is witnessing firsthand the transformative impact of artificial intelligence (AI)…
A Powerful New Challenge to Exchange Enforcement Actions
Written by: Renato Mariotti and Maggie DePoy, Paul Hastings LLP Self-regulatory organizations, including futures exchanges, could face aggressive challenges in the wake of the SEC v. Jarkesy decision, which provides…
The Rising Tide of AI in Trade Surveillance: Adapting to an Increasingly Complex Regulatory Landscape and Solving for False Positives
Written by: Joe Schifano, Global Head of Regulatory Affairs at Eventus In recent years, the financial industry has faced mounting pressure from regulators, driving significant transformation within compliance functions. At…
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