The CFTC’s Whistleblower Program: Protecting Integrity in U.S. Markets Nov 13, 2024 The Commodity Futures Trading Commission (“CFTC”) plays a critical role in ensuring the integrity of U.S. financial markets. One of the key tools it utilizes to uncover misconduct and enforce… Read More
Mandatory CFTC/NFA Electronic Communications Training Oct 31, 2024 Turnkey customers, newsletter recipients, and blog readers are well aware that regulators have been working hard to enforce electronic communications supervision regulations. We have written about this trend many times… Read More
Recent NFA Actions Against Commodity Pool Operators Oct 30, 2024 In recent actions, the National Futures Association (“NFA”) has issued formal complaints against two registered commodity pool operators (“CPOs”), Scalebuilder LLC and AC Investment Management LLC, for multiple alleged regulatory… Read More