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You're directed to report “if your cloud service providers have been affected by this attack"
This is a copy of the CFTC's organizational chart published by the agency in 2020
The changes harmonize the CFTC’s rules with the SEC’s
The Investment Advisers Act of 1940Section 206 -- Prohibited Transactions by Investment AdvisersIt shall be unlawful for any investment adviser, by use of the mails ...
This Statement replaces the Commission's prescriptive ethics training rule and allows flexibility in the format, frequency and providers of ethics training, permitting each firm to ...
On the same day that SEC commissioners narrowly approved cross-border swap rules, the CFTC followed suit
“The industry looks to these types of resolutions in structuring their own compliance” programs
Foreign travel figured into the NFA’s year
The proposal would eliminate the ability to file a Form PF with the SEC to satisfy a CPO’s obligation to file Form CPO-PQR
(a) Adoption of code of ethics. If you are an investment adviser registered or required to be registered under section 203 of the Act, you ...
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