The proposal is potentially good news for affected advisers, but firms should not assume that they will automatically qualify for the new exemption.
This compliance requirement includes any regulations promulgated under that Act.
A key requirement is for the firm to implement a customer identification program as part of their overall compliance program.
The proposal is potentially good news for affected advisers, but firms should not assume that they will automatically qualify for the new exemption.
Our in-brief roundup of notable stories from the last week.
CFTC found trader also made false or misleading statements about removing texts and messages relevant and material to the regulator's investigation.
The commission granted ElectronX's request to continue applying the reporting regime for self-cleared contracts to its direct participants.
CFTC found material, nonpublic information was used in breach of duty of trust and confidence to trade event contracts on the prediction platform.
Our in-brief roundup of notable stories from the last week.
Our pick of the latest crypto stories.
Autonomous AI-based trading strategies could complicate questions of firms’ responsibility for model behavior.