- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
To improve oversight of high-speed, automated trades the CFTC has a plan to access the source code that powers them. Critics say the idea undermines due process and has unnerving implications for how other regulators obtain data.
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During a panel at Compliance Week’s Financial Crimes and Regulatory Compliance Summit, held June 10-11 in New York, experts discussed nuances in bank-financial technology partnerships, offering best practices for how banks should protect themselves.
A whistleblower received an $8 million award from the Commodity Futures Trading Commission for uncovering fraud—even though the agency deemed the whistleblower was culpable in the misconduct.
Two senior officials from the Securities and Exchange Commission and Commodity Futures Trading Commission described how both agencies are committed to rooting out off-channel communications among registered entities for the long term.
