CFTC, SEC Identity Theft Policies Now Required Nov 20, 2013 As a reminder, on May 20, 2013, the Commodity Futures Trading Commission (CFTC) and U.S. Securities and Exchange Commission’s (SEC) joint final rules concerning identity theft precautions took effect. Most… Read More
NIBA Conference – AML For IB’s Oct 23, 2013 Last month Turnkey Trading Partners’ Susan Osmanski spoke on a panel at the National Introducing Brokers Association (“NIBA”) annual conference in Chicago. A recap of the discussion was recently published… Read More
Common Mistakes, Introducing Brokers and AML Procedures Aug 07, 2013 Most introducing brokers (“IBs”) view their Anti-Money Laundering (“AML”) obligations quite minimally but this can be a monumental mistake. Generally IBs believe their AML responsibilities are limited to ensuring a… Read More