Our in-brief roundup of notable stories from the last week.
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.
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.
Our in-brief roundup of notable stories from the last week.
The proposal would restore certain CPO and CTA exemptions that were in place until 2012.
Our pick of the latest crypto stories.
The agency said a growing number of filings have failed to provide sufficient notice or compliance analysis.
Our in-brief roundup of notable stories from the last week.