On March 21, 2019, in Whitaker v. Wedbush Securities, an Illinois appellate court for the first time addressed the liability of a futures commission merchant (FCM) or broker-dealer (BD)
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futures commission merchants
FinCEN Finalizes Customer Due Diligence Rule
By Greenberg Traurig on
May 6, 2016, the Financial Crimes Enforcement Network of the U.S. Department of the Treasury (FinCEN) finalized regulations that will require banks, securities broker dealers, mutual funds, futures commission merchants,…
Continue Reading FinCEN Finalizes Customer Due Diligence Rule