Autonomous AI-based trading strategies could complicate questions of firms’ responsibility for model behavior.
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The proposal would restore certain CPO and CTA exemptions that were in place until 2012.
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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.
Our in-brief roundup of notable stories from the last week.
The broker-dealer failed to properly monitor more than 61,500 foreign currency wires after previously settling similar charges in 2018.