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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Peter Wilson ordered by Published Date Descending.
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Quarterly U.S. Regulatory Roundup – First Quarter 2019
In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates and enforcement and judicial actions from the SEC, FINRA, NFA and CFTC ...
United States
29 May 2019
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NFA Internal Controls System Interpretive Notice
Each Commodity Pool Operator (CPO) Member must develop a framework and implement an internal controls system that deters errors and fraudulent activity by employees, management, and third parties in order to safeguard customer funds.
United States
15 Feb 2019
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