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RCW Staff

Be sure to change keywords based on events
This is an example of a trade ticket submitted by a peer
An Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file are designed to help you ...
This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego
Use this form to investigate new investment products
A peer shares a sample trade allocation policy
The SEC's Form PF
Take a tour of the new RCW website
Check out this sample of a best execution policy
A compliance program risk and gap analysis tool courtesy of Krista Zipfel in Newport Beach, Calif.
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. ...
SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
RELEASE Number 8053-19 October 16, 2019   CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme Federal Court Issues ...
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.
Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case Litigation Release No. 24645 / October 16, 2019 Securities and Exchange Commission v. Kevin B. ...
Revised no-action relief for the European Stability Mechanism from the swap clearing requirement in Section 2(h)(1) of the Commodity Exchange Act and Commission Regulations 50.2 ...
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