Housekeeping, Reminders & Updates – January 2017

Financial Crimes Enforcement Network Advisory on FATF List of Jurisdiction with AML/CFT Deficiencies On January 19, 2017, the Financial Crimes Enforcement Network (“FinCEN”) issued an advisory announcing that the Financial Action Task Force (“FATF”) updated its lists of identified jurisdictions with strategic deficiencies in their frameworks to combat money laundering and the financing of terrorism and proliferation.  The purposes of.

Top 5 Ways AI in Compliance Will Affect You in 2017

Artificial Intelligence (AI) is the hottest topic in service industries these days, and compliance is no exception. AI can be roughly divided into two categories: General, which we see in movies and read about in science fiction novels, and Specific, which is what will have the greatest impact in 2017. The new year is upon us, bringing promises of a.

Financial Marketing is a Process: Defining and Executing an End-to-End Marketing Process

By Shane Stiles and Sarah McNabb Whether you’re a fund manager, investment advisor or broker, whether you’re selling retail or institutional trading, or raising assets for a fund—marketing starts with a process. The goal of a well-defined marketing process is to generate leads that can then be converted to clients through the efforts of automated marketing and sales tactics. Marketing.

Chairman’s Letter – Jan 2017

“Cheers to a new year and another chance for us to get it right.” Oprah Winfrey, 1954-   Oprah Winfrey is an American media proprietor, actress, producer & philanthropist. Looking back on 2016, I thought her words were particularly appropriate to our industry going forward into the new year. CFTC Chairman Massad has indicated he will leave the Commission on.

NIBA SoCal Conference around the corner – February 23, 2017

The 2017 NIBA conference schedule kicks off the year in toasty Southern California on February 23, in beautiful Newport Beach. This will be followed by our spring meeting in New York City in late April and then our fall event in Chicago. The SoCal conference brings a little bit of Chicago and New York – the centers of futures trading.

Roadmap to Strategic and Compliant Email Marketing

Email marketing continues to be one of the most effective and cost-efficient tools in the marketer’s toolbox. But strategic and compliant email marketing is not easy. Marketing automation and emerging technologies supporting account-based marketing allow you to make emails far more relevant and personalized. Marketing automation allows you to segment and deliver emails to just the right audience at just the right.

CME Fee Increase Jan 2017

Pending CFTC regulatory approvals and review periods, below provides a summary of the January 1, 2016 pricing changes for each of the product exchanges: CME, CBOT, NYMEX and COMEX. Please see link below for a detailed breakdown of the CME Group’s fee increase CME Group Exchange & Clearing Fees

Save the Date: NYC 2017 Event

The NIBA is excited to announce the date has been set for this year’s NYC program.  Please mark your calendars for April 26, 2017.  We have established new partnerships and are finalizing an exciting line up for this year’s program.  Look for additional details to be announced in upcoming newsletter publications. Please contact the NYC Program committee chairman with any.

Seven of the Most Noteworthy Trading Days of 2016

With the big changes of 2016 still fresh in our memories, we take a look back at the year’s seven most interesting trading days to review what we may have learned (or not) about managing risk. The U.S. elections and UK’s Brexit referendum highlighted the need to manage political event risk, especially since opinion polls proved unusually unreliable. Monetary policy.

December 2016 Housekeeping, Reminders and Updates

COMMODITY FUTURES TRADING COMMISSION Inter-Affiliate Swaps Transactions No-Action Extension The Commodity Futures Trading Commission (“CFTC”) announced the extension of relief outlined in Letter 15-62 and Letter 16-81 until December 31, 2017. Non-U.S. jurisdictions are still constructing mandatory clearing regimes. The no-action relief extension allows for market participants to more easily satisfy clearing and trade execution requirements while foreign jurisdictions implement.