Latest Articles and Case studies

The growing difficulty in detecting ever more complex illicit trading behaviors continues to increase.

A US based global wealth manager wanted to implement a vendor solution to monitor and provide coverage for sales practice issues to meet its

A global broker-dealer sought support to streamline and strengthen its core compliance functions, which include firm-wide compliance and

A global broker-dealer wanted to understand exactly how their trade surveillance controls were being operated across all US business lines a

The CFTC published its Enforcement Actions Report for Fiscal Year 2023 on November 7th, 2023. This report provides a comprehensive...