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Spoofing, Surveillance, & Supervision

part of the FIA Law & Compliance Division webinar series
17 January 2019 10:00am to 11:00am EST

The CFTC and futures exchanges continue to aggressively pursue “spoofing” cases against traders. When evidence of criminal willful intent exists, they refer certain matters to the Department of Justice for criminal prosecution. The CFTC settled its first spoofing case in late December 2016. The month prior, the DOJ obtained its first criminal conviction for spoofing. Since that time, the CFTC has expanded its enforcement efforts in this area to target firms for failing to supervise traders being investigated for spoofing activity. With this Webinar, Jim Lundy and Nicholas Wendland from Drinker Biddle & Reath LLP will explore the increased regulatory enforcement focus on failing to supervise trading activities and how to utilize supervision and surveillance efforts to best manage this risk.
 

 

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