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Compliance Monitoring › Commodities Futures Trading Commission › Enforcement Actions

Womble Bond Dickinson

Can a Whistleblower Derail a Deferred Prosecution Agreement?

Womble Bond Dickinson on

A recent whistleblower suit could impact a company’s deferred prosecution agreement (“DPA”) potentially leading to further investigation by DOJ and additional penalties. A whistleblower suit was recently filed in the New...more

BCLP

The CFTC is Not Your Friend: More Penalties, More Monitors and More Admissions

BCLP on

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

A&O Shearman

CFTC Issues Advisory Guidelines On Civil Penalties, Monitors And Admissions

A&O Shearman on

On October 17, the Commodity Futures Trading Commission’s Division of Enforcement released an advisory instruction to CFTC staff for future enforcement actions.  The advisory provided guidance on the following:  (i) whether...more

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