241 Enforcement Actions in the U.S. over past 30 days


FINRA enforcements decreased 70% over the past 30 days


CME issued enforcements: $1,241,754.92 over the past 30 days


161 Final Rules go into effect in the next 30 days


27 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


90 new Proposed and Final Rules were published in the past 7 days


2781 new docs in pro.compliance.ai within the last 7 days


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The 4 Regulatory S’s – SEC, Spoofing, Supervision and Settlement

December 3, 2020 | 1:30 pm PT / 4:30 pm ET


About this Webinar

With 2020 rapidly coming to a close, securities and enforcement are closing in. In this discussion, our CEO and co-founder, Kayvan Alikhani will be speaking with financial and trading expert, Hugh Cadden and securities and derivatives markets, Jerry Markam around the latest SEC Regulations, Spoofing and Settlements as we close out a hot Q4 in the financial services industry.

Kayvan Alikhani

CEO and Co-Founder Compliance.ai

Kayvan Alikhani brings 25 years’ experience in enterprise technology to his role as CEO of Compliance.ai. A pioneer of the RegTech industry, he has interviewed 500+ Chief Compliance Officers at financial services institutions to understand the scope and urgency of the challenges they are facing. He has a practical vision for how technology can be applied to address their most pressing needs within today’s complex and dynamic regulatory environment.

Hugh Cadden

Economic and Financial Expert with OnPoint Analytics, Inc

Hugh Cadden is a recognized expert in derivative financial and trading markets including futures, options, and swaps. Hugh is currently a senior consultant and expert with OnPoint Analytics, Inc. an economic, finance and statistical consultancy specializing in expert testimony for complex litigation. He has been specializing in the organization, operation, and regulation of financial and trading markets for over 40 years. Hugh’s experience includes both the public and private sectors and he has held senior level positions with the U.S. Commodity Futures Trading Commission including serving as Director of the Division of Trading and Markets and Deputy Director of Enforcement.

Jerry Markham

Nationally Recognized Scholar and Law Professor

Jerry W. Markham is a professor of law at Florida International University at Miami where he teaches corporate and international business law. He previously was a partner in the international law firm of Rogers & Wells (now Clifford Chance), chief counsel for the Division of Enforcement of the United States Commodity Futures Trading Commission, Secretary and Counsel for the Chicago Board Options Exchange, and an attorney in the Office of General Counsel at the United States Securities and Exchange Commission. He authored three follow-on volumes to that history that covers the Enron era scandals through the Financial Crisis in 2008.