Responding to a “concern” from Chief Compliance Officers (CCOs) to the purported increase in enforcement actions holding compliance personnel personally liable, the New York City Bar Association recently released a framework...more
The U.S. Commodity Futures Trading Commission (“CFTC”) sent a strong message to Chief Compliance Officers (“CCO”) this week when it held a CCO held accountable for lying to the National Futures Association (“NFA”) during an...more
9/19/2019
/ Administrative Proceedings ,
Bad Actors ,
CEOs ,
CFTC ,
Chief Compliance Officers ,
Commodity Exchange Act (CEA) ,
Commodity Futures Contracts ,
Enforcement Actions ,
Misappropriation ,
National Futures Association ,
Private Equity Funds