Displaying results 291 - 300 of 394
...Keynote Address of Commissioner Dan M. Berkovitz at ISDA’s 2019 Annual North America Conference
September 26, 2019
Turning to a New Decade
Good afternoon and thank you for the warm welcome. I would like to thank Scott O’Malia and ISDA for inviting me to speak at this event. I am pleased to be here at the one-year anniversary of my having joined the CFTC as a Commissioner.…
...
November 6, 2015
CFTC Releases Annual Enforcement Results for Fiscal Year 2015
Agency Filed 69 Enforcement Cases and Achieved a Record $3.14 Billion in Civil Monetary Penalties Ordered
Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) today released the agency’s enforcement results for fiscal year (FY) 2015, which included a record $3.144 billion in…
… In fact, since Covid started, the Lab has given over 60 training sessions internally here at the CFTC, and that’s …
… the matter, and committing to mandatory agency-wide training for staff about the duty of accuracy and candor and …
… See, e.g., NIST Special Publication 800-84, Guide to Test, Training, and Exercise Programs for IT Plans and … identification and authentication; security awareness training; audit log maintenance, monitoring, and analysis; … and approvals; outsourcing and vendor management; training in secure coding practices; and any other elements …
… includes ensuring that employees receive sufficient training and that their activities are monitored through … The Order found that the firm provided insufficient training, emphasizing that, for most of the traders involved …
...Keynote Address of Chairman J. Christopher Giancarlo at Fintech Week, Georgetown University Law School
“Quantitative Regulation: Effective Market Regulation in a Digital Era”
November 7, 2018
Thank you. Let me begin by thanking Georgetown Law Professor and Director of the Institute of International Economic Law, Chris Brummer. In only a few short years under his leadership…
… that so long as internal controls, senior leadership, and training programs of a firm are created with the proper … in the firm's books and records; and (9) annual training of personnel responsible for compliance with the … house as well as the transferring one,'' thereby restraining Brokers ``to remain with one FCM, or completely …
… that so long as internal controls, senior leadership, and training programs of a firm are created with the proper … in the firm's books and records; and (9) annual training of personnel responsible for compliance with the … house as well as the transferring one,'' thereby restraining Brokers ``to remain with one FCM, or completely …
… that so long as internal controls, senior leadership, and training programs of a firm are created with the proper … in the firm's books and records; and (9) annual training of personnel responsible for compliance with the … house as well as the transferring one,'' thereby restraining Brokers ``to remain with one FCM, or completely …