If you are a Commodity Pool Operator (“CPO”) or Commodity Trading Advisor (“CTA”) and you have not made strides to put an effective Information Systems Security Program (“ISSP”) in place, doing so should be blinking red on your dashboard.
Enforcement panels at regulatory conferences can sometimes be dull. But complaints about multiple regulatory penalties for the same violation brought the crowd to life last week in San Diego.
Acting CFTC Chairman J. Christopher Giancarlo is signaling his intention to increase the agency's market intelligence capabilities by moving certain surveillance functions to the Division of Enforcement, derivatives lawyers told Bloomberg BNA.
Murphy & McGonigle, P.C. announced today that Patricia Wallace has joined the firm as a partner in its Richmond, VA office. Ms. Wallace’s arrival continues the strong trend of talent joining the financial services law firm that was founded in 2010.
New York financial regulators’ outreach efforts while developing new cybersecurity rules could serve as a model for harmonizing existing regulations elsewhere.