2019 was a busy year for CFTC and SRO enforcement. At the first FIA Law & Compliance Division webinar for 2020, Stephen Obie and Alice Trantner Wilson of Jones Day reviewed the key enforcement matters brought during 2019, including coordination with criminal authorities, and discussed potential compliance solutions and policies to assist market participants to avoid enforcement actions.
Topics included:
- Spoofing
- Manipulation
- Fraud
- Failure to supervise
Presenters:
Stephen Obie and Alice Trantner Wilson of Jones Day
