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
Over the past year, the Commodity Futures Trading Commission continued moving its focus away from practices like spoofing, instead bringing high-profile actions in the crypto space and reaching significant settlements with...more
5/5/2023
/ Broker-Dealer ,
CFTC ,
Compliance ,
Crypto Exchanges ,
Cryptoassets ,
Electronic Communications ,
Enforcement Actions ,
Enforcement Priorities ,
Financial Institutions ,
Investment Adviser ,
Market Participants ,
Registration Requirement ,
Required Communications ,
Securities and Exchange Commission (SEC) ,
Spoofing