On December 4, 2024, the Commodity Futures Trading Commission (“CFTC”) released its enforcement results for Fiscal Year 2024 (“FY 2024”), showcasing record awards of monetary relief totaling more than $17.2 billion....more
12/6/2024
/ CFTC ,
Civil Monetary Penalty ,
Compliance ,
Digital Assets ,
Enforcement Actions ,
Enforcement Statistics ,
Futures ,
Market Manipulation ,
Reporting Requirements ,
Risk Management ,
Swaps
How will President-elect Trump’s reelection impact the SEC’s enforcement priorities? We looked for clues from the first Trump Administration’s Enforcement program, and also from the agency’s current Republican Commissioners....more
12/3/2024
/ Compliance ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Priorities ,
Insider Trading ,
Regulatory Agenda ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Trump Administration
The Commodity Futures Trading Commission ("CFTC") recently released its enforcement results for Fiscal Year 2023 ("FY 2023"), which ran from October 1, 2022, through September 30, 2023. ...more
4/8/2024
/ Annual Reports ,
CFTC ,
Compliance ,
Confidential Information ,
Cooperation ,
Corporate Counsel ,
Digital Assets ,
Enforcement Actions ,
Enforcement Statistics ,
Professional Misconduct ,
Reporting Requirements ,
Risk Management ,
Spoofing
New guidance from the Commodity Futures Trading Commission[i] may significantly change the calculus for firms considering whether to settle an enforcement action. Requiring admission of wrongdoing in a greater number of...more