SEC and regulatory enforcement defense partner Jim Lundy and investment management counsel Nicholas Wendland worked with FIA — a global trade organization for the futures, options and centrally cleared derivatives markets — to develop a training course titled “Understanding and Avoiding Spoofing Behavior.”
The module focuses on recent global developments in the enforcement of spoofing regulations and aims to help market participants avoid trading activity that has received intense regulatory scrutiny. It covers the basics of spoofing and how regulators are targeting illegal trading behavior.
Michael Sorrell, deputy general counsel of FIA, wrote, “Exciting announcement from FIA Training! Please spread the word to legal and compliance professionals in the derivatives industry. Special thanks to Jim Lundy and Nicholas Wendland for helping FIA develop the module content.”