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The CFTC’s New Enforcement Manual: Its Key Content and Use for Practitioners in CFTC Investigations

part of the FIA Law & Compliance Division webinar series
18 July 2019 10:00am to 11:00am EDT

Please join the FIA Law & Compliance Division on July 18 for a webinar addressing the CFTC Division of Enforcement’s recently published first Enforcement Manual.  The Manual is intended to serve as a general reference for Enforcement Staff in their investigation and prosecution of potential violations of the Commodity Exchange Act and Commission regulations and to provide greater transparency for the public into the Staff’s operations.  Lawyers in Steptoe’s Financial Services Group will discuss the notable aspects of the Manual, compare it to the manuals used by the Securities and Exchange Commission and the Department of Justice, and comment on use of the CFTC’s Manual by practitioners handling CFTC investigations.  They also will explore how the Manual fits within the Division’s broader efforts to provide guidance to the industry and promote self-reporting and cooperation with its investigations.

Presenters:

Stacie Hartman and Charles Mills, Partners, of Steptoe & Johnson

View Recorded Webinar | Download Presentation

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