Theodore Kneller

Theodore Kneller

Skadden, Arps, Slate, Meagher & Flom LLP

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CFTC Issues New Enforcement Guidance on Cooperation Recognition in Its Orders

On October 29, 2020, the Commodity Futures Trading Commission (CFTC) Division of Enforcement (Division) issued a memorandum (Guidance) providing guidance for Division staff to follow when recommending the recognition of an...more

11/5/2020  /  CFTC , Cooperation , Enforcement Actions , Internal Controls , New Guidance , Remediation , Self-Reporting , Transparency

CFTC Division of Enforcement Publishes New Civil Monetary Penalty Guidance

In a memorandum dated May 20, 2020, the Commodity Futures Trading Commission’s (CFTC) Division of Enforcement issued guidance outlining factors that CFTC staff will consider when recommending civil monetary penalties (CMPs)...more

5/22/2020  /  Aggravating Factors , CFTC , Civil Monetary Penalty , Enforcement Actions , Mitigating Factors , New Guidance , Policy Memorandums
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