On September 12, 2019, the Commodity Futures Trading Commission (CFTC) announced a settlement with Phillip Capital Inc. (PCI or the “Company”), a registered futures commission merchant (FCM), after hackers successfully...more
10/14/2019
/ CFTC ,
Chief Compliance Officers ,
Cybersecurity ,
Data Breach ,
Data Security ,
Enforcement Actions ,
Information Systems Security Program (ISSP) ,
Investment Adviser ,
National Futures Association ,
Phishing Scams ,
Policies and Procedures