The changes harmonize the CFTC’s rules with the SEC’s
The CFTC’s new report also played up its parallel criminal cases
Rule requires P&Ps to protect customer records and information
New rules take effect with the first of the year
“The industry looks to these types of resolutions in structuring their own compliance” programs
A “language barrier and certain cultural differences” blamed for regulator woes
CPO barred for misbehavior
Heath Tarbert is officially the CFTC’s new chairman, replacing J. Christopher Giancarlo, who joined the Commission in 2014 and became its chairman in 2017. Tarbert ...
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that ...