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."
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