Written by: Renato Mariotti and Maggie DePoy, Paul Hastings LLP Self-regulatory organizations, including futures exchanges, could face aggressive challenges in the wake of the SEC v. Jarkesy decision, which provides…
Written by: Joe Schifano, Global Head of Regulatory Affairs at Eventus In recent years, the financial industry has faced mounting pressure from regulators, driving significant transformation within compliance functions. At…
Written by: Adam Aronoff, Founder & CEO, GlossyDev In the fast-paced digital era, staying ahead of the curve is paramount for successful businesses. The advent of Artificial Intelligence (AI) has…
By, Jessica Darmoni, The Title Connection In a world where everyone has control of their own narrative, it is important to have a handle on what people think when they…
When I am talking with a friend or colleague who wants to kickstart their marketing efforts, my approach is “simpler is better”. It’s a lot like getting off the couch…
NFA Members are required to ensure that their customer solicitations and promotional materials are in compliance with NFA Compliance Rule 2-29. Subsection (a) applies to any type of communication with…
Written by: Jeffry Henderson, Shareholder, Greenberg Traurig Douglas Arend, Of Counsel, Greenberg Traurig On March 29, 2023, National Futures Association (NFA) adopted Compliance Rule 2-51 (Rule 2-51), which became effective…
To All Registered Derivatives Professionals: NIBA is excited to announce the formation of a new Working Group which will create and regularly update the NIBA Toolbox. NIBA’s Toolbox is a…
By Rob D’Arco, CEO Rival Systems After 20 years of working in the trading industry, I’ve gained a unique perspective working with traders throughout their careers. Technology plays a critical…
To All Derivatives Compliance Officers: NIBA is excited to announce the formation of a new working group specifically focused on the concerns of compliance officers in the derivatives industry. The…
