Regulatory Wrap episode 70: What the CFTC’s “enforcement sprint” means for compliance
In Regulatory Wrap for the week to September 12, Kathryn Fallah reviews recent enforcement action from the CFTC against 10 firms for technical compliance failures.
In Regulatory Wrap for the week to September 12, Kathryn Fallah reviews recent enforcement action from the CFTC against 10 firms for technical compliance failures.