The CFTC’s Enforcement Division Again Puts Market Participants on Notice About Its Expectations Concerning Compliance Programs

The Enforcement Division of the Commodity Futures Trading Commission has issued public, staff-level guidance outlining factors it will consider when evaluating compliance programs in connection with enforcement matters. This new guidance follows a series of reminders about how CFTC regulators view compliance programs, and a May update of the CFTC’s civil monetary penalty guidance. It […]
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