Regulatory Update
In this blog, Dave Ackerman writes about his encounter with the outgoing SEC Chairman, Jay Clayton.
In this blog, Dave Ackerman explains why he thinks there is no such thing as a COVID-19 defense for failure to supervise.
Regulators view spoofing as market manipulation, and with fewer hurdles to jump, they seem increasingly determined to hunt down spoofers and weed them out.
While COVID-19 probably won’t bring relief from regulations, it is providing an opportunity for firms to take their compliance operations to the next level.