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… testimonials, as required under CFTC Regulations. The Live Training Room According to the Complaint, Defendants furthered their deception by setting up a “live training room” where customers could “‘look over the … in reality, most – if not all – of the trading in the live training room occurred in a simulated account, which would …
… operations of the CFTC); and OIG personnel (such as staff training records and conflict of interest certifications … throughout the procurement lifecycle. CFTC -52 , Training Records 83 FR 23433 This system contains … from individuals who participate in or assist with CFTC training. This system provides CFTC with a means to track …
… ISSP? The need to train employees, and the extent of such training, depends on the risks identified by the Member … Of course, it may be appropriate to vary the level of training based on an employee’s access to particular systems … and information. What records must I maintain to evidence training provided to employees? Records relating to employee …
… and cash products. During his approximately six weeks of training in New York, Liao was instructed to sit adjacent to … questions about their trading. He spent substantial time training with the head trader on the desk and another senior …
… to train another trader at Bank A. In the course of this training, Flotron taught the other trader how to spoof. In …
… by broad requirements relating to governance, training, testing, and recordkeeping. The proposed rule … Paragraph (f)(3) 5. Request for Comment F. Training and Distribution—Proposed Paragraph (g) G. Review … providers. Proposed requirements relating to governance, training, testing, and recordkeeping would apply broadly and …
… hiring an outside compliance consulting firm to assist in training staff and reviewing and updating its current …
… futures contracts. The delegation which is conducting training at the National Accounting Institute in Beijing, … exchange representatives and industry professionals. The training will focus on the following: • Financial product …
… flawed.” Merrill Lynch also did not provide any meaningful training to employees regarding how to conduct fee … include, hiring an outside consulting firm to assist in training staff and reviewing and updating its current …
… First, the Order requires Cargill de México to conduct training for certain personnel addressing the ethics, … (ii) that Cargill de México has conducted certain training sessions for relevant personnel, and (iii) that …