Financial Crimes Enforcement Network Advisory on FATF List of Jurisdiction with AML/CFT Deficiencies On January 19, 2017, the Financial Crimes Enforcement Network (“FinCEN”) issued an advisory announcing that the Financial…
Artificial Intelligence (AI) is the hottest topic in service industries these days, and compliance is no exception. AI can be roughly divided into two categories: General, which we see in…
By Shane Stiles and Sarah McNabb Whether you’re a fund manager, investment advisor or broker, whether you’re selling retail or institutional trading, or raising assets for a fund—marketing starts with…
“Cheers to a new year and another chance for us to get it right.” Oprah Winfrey, 1954- Oprah Winfrey is an American media proprietor, actress, producer & philanthropist. Looking…
The 2017 NIBA conference schedule kicks off the year in toasty Southern California on February 23, in beautiful Newport Beach. This will be followed by our spring meeting in New…
Email marketing continues to be one of the most effective and cost-efficient tools in the marketer’s toolbox. But strategic and compliant email marketing is not easy. Marketing automation and emerging…
Pending CFTC regulatory approvals and review periods, below provides a summary of the January 1, 2016 pricing changes for each of the product exchanges: CME, CBOT, NYMEX and COMEX. Please…
The NIBA is excited to announce the date has been set for this year's NYC program. Please mark your calendars for April 26, 2017. We have established new partnerships and…
With the big changes of 2016 still fresh in our memories, we take a look back at the year’s seven most interesting trading days to review what we may have…
COMMODITY FUTURES TRADING COMMISSION Inter-Affiliate Swaps Transactions No-Action Extension The Commodity Futures Trading Commission (“CFTC”) announced the extension of relief outlined in Letter 15-62 and Letter 16-81 until December 31,…
