Faegre Drinker Biddle & Reath LLP, a Delaware limited liability partnership | This website contains attorney advertising.
December 6, 2017

CFTC Enforcement: Best Practices and Recent Developments

By James G. Lundy, Mary P. Hansen and Antoinette Snodgrass

Chicago partner Jim Lundy, Philadelphia partner Mary Hansen and associate Antoinette Snodgrass published an article in The Review of Securities & Commodities Regulation discussing best practices for engaging with the Commodity Futures Trading Commission (CFTC) and recent developments in CFTC enforcement. In their article, Jim, Mary, and Antoinette identify eight essential steps firms should take when contacted by the Enforcement Division of the CFTC, strategies for engaging with the Division during the investigative process, and the strategic implications and risks regarding whether to self-report and/or cooperate. They also discuss recent CFTC Enforcement developments, including the first use of non-prosecution agreements.

Read "CFTC Enforcement: Best Practices and Recent Developments."

The material contained in this communication is informational, general in nature and does not constitute legal advice. The material contained in this communication should not be relied upon or used without consulting a lawyer to consider your specific circumstances. This communication was published on the date specified and may not include any changes in the topics, laws, rules or regulations covered. Receipt of this communication does not establish an attorney-client relationship. In some jurisdictions, this communication may be considered attorney advertising.

Related Legal Services

The Faegre Drinker Biddle & Reath LLP website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Drinker Biddle & Reath LLP's cookies information for more details.