Julie DiMauro35 min listen
GRIP2 min read
Vlada Gurvich3 min read
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.
Some industry insiders weigh in on what we can expect for the coming year.
Carmen Cracknell2 min read
Our roundup of key crypto regulation stories.
Carmen Cracknell2 min read
The policy shift involves procedural changes to adjudication, settlement recommendations, and Wells notice practice.
Alexander Barzacanos1 min read
The CFTC's Market Participants Division’s latest letter clarifies how futures commission merchants can use customer securities at foreign intermediaries.
Alexander Barzacanos1 min read
The scheme targeted elderly victims by convincing them to purchase significantly marked-up silver coins with their retirement savings.
Catherine Ollinger1 min read
Brookings fellow and former CFTC chair says lawyers will exploit complexities in the current structure to reduce their clients' compliance burden.
Carmen Cracknell2 min read
The long-awaited draft bill hands the CFTC the biggest role in overseeing digital assets, marking a major step in clarifying who polices crypto and how.
Julie DiMauro4 min read
The significance of US legislation and the risk-management imperative.
Julie DiMauro3 min read