Web6 hours ago · The company also hired several former Jefferies executives. California-based Wedbush Securities, a financial services provider, has named Matt Lisle its new Chief Compliance Officer for its Futures division. He will be based in the Chicago office of Wedbush and report directly to Andrew Druch, General Counsel of the company. WebWhat does FTC mean?. Federal Trade Commission (FTC) is a United States federal regulatory agency with a mission to promote consumer protection and prevention of …
Wedbush Names New Compliance Chief as It Enters FX …
Web(6) Information requested of the chief compliance officer. The chief compliance officer shall provide any information regarding the self-regulatory program of the swap execution facility as requested by the board of directors or the senior officer. (c) Duties of chief compliance officer. The duties of the chief compliance officer shall include ... WebMar 28, 2024 · The Commodity Futures Trading Commission is suing crypto exchange Binance and its CEO, Changpeng Zhao, for operating an “intentionally opaque” and allegedly illegal enterprise that violated the Commodity Exchange Act while engaging in “a calculated strategy of regulatory arbitrage to their commercial benefit.”. The CFTC also … my aldi instacart order
Wedbush Names New Compliance Chief as It Enters FX Prime …
WebJan 22, 2024 · CFTC Staff Issues Guidance Regarding Annual Chief Compliance Officer Reports Updated January 22, 2024 The CFTC’s Division of Swap Dealer and … WebThe chief compliance officer's duties shall include, but are not limited to, the following: (1) Overseeing and reviewing the swap data repository 's compliance with section 21 of the Act and any related rules adopted by the Commission ; (2) In consultation with the board of directors, a body performing a function similar to the board, or the ... Web47 minutes ago · Financial services company Wedbush Securities announced the appointment of Matt Lisle to chief compliance officer of its futures division. Lisle will report to General Counsel Andrew Druch and work closely with the management team of the fixed income, currencies, commodities, and securities finance division. Lisel brings more than … my aldi\u0027s account