A futures commission merchant settled CFTC charges for failing to (i) implement an adequate AML program, (ii) impose risk-based trading position limits on a customer's accounts and (iii) maintain customer records for a substantial period of time.
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In a Complaint filed in the U.S. District Court for the District of New Jersey, the SEC alleged that two individuals placed orders on opposite sides of the market for the same put options using two accounts with two broker-dealers.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.