WHIP will reward whistleblowers at an earlier stage of the prosecution. Buddy Parker discusses whether it's substantive or performative.
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.
WHIP will reward whistleblowers at an earlier stage of the prosecution. Buddy Parker discusses whether it's substantive or performative.
Buddy Parker, MKS Law
The former director of CFTC Enforcement spoke about prediction markets, the risks of insider trading, and the need for surveillance policies and processes.
Our in-brief roundup of notable stories from the last week.
Our in-brief roundup of notable stories from the last week.
Michael Selig discussed crypto, AI and automated trading, SI adoption, streamlining certain regulatory requirements, and more.
The CFTC has issued two linked rule changes that attempt to better delineate the boundary of the swap definition.
New monthly column with former prosecutors addressing prediction markets and exploring the compliance and enforcement issues they present.
Howard Fischer, Adam Brody; Moses & Singer
This year's gathering focuses on investor resilience and scams.