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Monday, January 10 2022

Don’t Text and Trade

On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January... [...]
Monday, December 27 2021

New Year, New Rules.

Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome.   We’re not telling you anything you don’t already know.   One thing that makes regulatory compliance tedious... [...]