Exchange Analytics, the leading provider of training to the futures and derivatives industry, is now offering an online training program on Market Conduct. This offering is designed to instruct traders and brokers about CFTC, CME and ICE rules and regulations regarding trading practices such as spoofing and wash sales. In light of all the recent enforcement … READ MORE
Exchange Analytics, the leading provider of training to the futures and derivatives industry, is now offering a training program devoted to Block trading and EFRP. This course, entitled “Non-Competitive Trading Practices” is designed to educate all staff in the requirements at the CME, ICE and ICE Europe.
Exchange Analytics, has launched a Cybersecurity Training program for the futures and derivatives industry. This 45 minute online course has been designed to satisfy the NFA cybersecurity requirements that went into effect on March 1, 2016. Please contact Exchange Analytics for details.
The NFA recently adopted an Interpretive Notice titled “Information Systems Security Programs” (Cybersecurity Interpretive Notice). This new NFA policy, which goes into effect March 1, 2016, requires FCMs, IBs, CTAs, CPOs, RFEDs, SDs and MSPs to implement a cybersecurity program in order to meet existing obligations to diligently supervise trading activities. Every registrant will be … READ MORE
I will be participating in a panel discussion on the topic of CTA marketing. The NIBA- DePaul conference is always well attended. Hope you can attend
I have worked in conjunction with Exchange Analytics to develop an online course to satisfy the annual training requirements of the “Customer Protection Rules” that took effect in January, 2014. Exchange Analytics is the leading provider of Ethics and AML training to the futures industry. We are proud to say that 24 futures FCMs have … READ MORE
I am working with RPM Financial Markets Group, LLC to provide an independent review service for FCM Risk Management Programs. The Enhanced Customer Protection rules that became effective in July, 2014, require every FCM to adopt and implement a Risk Management Program. In addition there is a requirement for an annual review of the program … READ MORE
The annual IIT- Chicago Kent College of Law Conference on Futures and Derivatives will take place on October 17, 2014. This is an opportunity to hear directly from the regulators and SROs about the direction they are heading. If you want information about the program, please contact me.
In October 2013, the CFTC adopted a new set of rules designed to prevent the reoccurrence of another MF Global type disaster. My article on the New Customer Protection Rules has been published in the July/August issue of Futures Magazine. To read the article please click here
We are in the home stretch in implementing the Customer Protection Rules adopted by the CFTC in October 2013. On July 12, 2014, FCMs will need to have the following in place: Detailed Financial Disclosures on their website. Firm specific Risk Disclosure. Implementation of a Risk Management Program. New acknowledgement letters from depositories. The only … READ MORE
