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… Commission consider when it looks to prioritize staffing, training and expertise on climate-related issues? Which …
… as well as standards related to risk management,\174\ training and testing,\175\ and the disclosure of material … participation requirements related to capitalization, training and the operational capability to comply with … In addition, ERCOT represents that it conducts antitrust training for its employees annually, holds open meetings to …
… pre-execution communication, personnel oversight and ethics training, SEF compliance requirements, trading surveillance, … minimum financial requirements, proficiency testing, training standards, and supervision. In addition, NFA …
… efforts. OCEO is also reaching intermediaries through trainings which educate participants on the CFTC’s fraud …
...Keynote Address of Commissioner Brian Quintenz before the 2018 Agricultural Commodity Futures Conference
The Weed Garden
April 6, 2018
Thank you for that kind introduction. Before I begin, let me make the usual disclaimer and quickly say that the views contained in this speech are my own and do not represent the views of the Commodity Futures Trading Commission (CFTC or…
… (CTAs); Registration of Floor Traders; Mandatory Ethics Training for Registrants; Suspension of Registrants Charged …
...As Prepared for Delivery
Introduction
Good afternoon. I am delighted to join you today back in Naples for the first time since 2020.
The last several years tested resilience across the derivatives markets, which required working together to meet the most extreme, but plausible issues, events, inquiries, and environmental, geopolitical, and fiscal conditions. The urgent…
… with the statutory RENTD standard may be unnecessarily constraining underwriting and market making, two critical … of the banking entity or by a qualified outside party; Training for trading personnel and managers, as well as … audit of the effectiveness of the compliance program; (5) training for personnel to [[Page 62043]] effectively …
… framework, independent testing of the compliance program, training, and recordkeeping; establish metrics reporting … attention; (4) independent testing and audits; (5) training for certain personnel; and (6) recordkeeping … controls, management framework, independent testing, training, and records), commensurate with the size, scope, …
… Imagine the CEO telling the new staff about the various trainings to come as part of the onboarding …