Conquering Current Compliance Challenges
Nov. 13, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
10/17/2019
A dictionary defines “comity” as a “friendly social atmosphere” and the Oct. 16 meeting of the CFTC met that definition although a hint of hostility h...
10/10/2019
A unique donnybrook is playing out in federal court that pits a federal judge against the CFTC over claims the Commission violated the judge’s confide...
10/10/2019
Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years.   The SRO ...
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