Unraveling the Most Prevalent Cyber and Financial Scams of 2023 Dec 27, 2023 As individuals and organizations continue to rely on digital platforms for communication, commerce, and daily operations, cybercriminals have… Read More
Proposed Changes to Regulation 4.7 Likely to Damage Industry Dec 22, 2023 The Commodity Futures Trading Commission (CFTC) has recently put forth proposed changes to Regulation 4.7. The proposed changes… Read More
Critical CFTC Supervision and Record Keeping Tips Oct 30, 2023 Over the past year major financial institutions have paid over $1 Billion in fines for record keeping violations. Many of the fines were due to the inability to monitor digital communications. One of these firms, HSBC, recently took a bold step to cover off the regulatory risks of having staff using text messages. Discover how they’re cracking down, and decide if your firm should be too. Please read more here.