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Financial Institutions › Commodities Futures Trading Commission › Enforcement Priorities

Moore & Van Allen PLLC

The Desk: July Edition

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We hope everyone has a relaxing, safe, and enjoyable Fourth of July. Despite some personnel changes at the CFTC, the current administration seems to be hitting its stride in terms of enforcement actions and regulatory...more

Zuckerman Spaeder LLP

Off-Channel Communication Risks: SEC and CFTC Enforcement Actions and Compliance Considerations for Financial Firms

Zuckerman Spaeder LLP on

In an increasingly digital world, financial firms need to be mindful of the variety of electronic communication channels that their employees use for work. Even where firms require employees to use firm-managed email networks...more

BCLP

A Time of Transition for the CFTC

BCLP on

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

Skadden, Arps, Slate, Meagher & Flom LLP

Biden Administration Signals Its Intention To Be Tougher on Corporate Crime

Skadden, Arps, Slate, Meagher & Flom LLP on

Forecasting the enforcement priorities of the Department of Justice (DOJ) under a new administration is difficult at best. However, the Biden administration is widely expected to be tougher on corporate crime than its...more

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