Partners Mary Hansen and James Lundy provided “A CFTC Enforcement Refresher and Overview of Cooperation Credit” on October 4, 2017, as part of the Futures Industry Association (FIA) Law & Compliance Division webinar series.
Mary and Jim provided guidance on best practices when dealing with a Commodity Futures Trading Commission (CFTC) enforcement investigation, and reviewed National Futures Association, Chicago Mercantile Exchange and Intercontinental Exchange enforcement processes as well. They analyzed the CFTC enforcement advisories issued earlier this year that detail the factors that CFTC enforcement considers in evaluating cooperation, including how these factors work in concert with larger enforcement efforts. They also provided recommendations regarding cooperation strategies.
To learn more, please visit the FIA website.