In this webinar, a senior prosecutor from the DOJ's Market Integrity and Major Frauds unit and a senior enforcement attorney from the CFTC join a panel of Clifford Chance attorneys to discuss and analyze recent cases and various hypothetical scenarios of investigation to assist in-house counsel in identifying potential pitfalls that can lead to charges. The hypotheticals focus on the factors that may lead an exchange investigation to become a CFTC enforcement matter, and the factors that may lead the DOJ to bring criminal charges. The panelists also give special attention to factors that may lead to individual liability for supervisors and managers. Finally, the panelists offer practical advice on steps that organizations can take to mitigate the risk that an investigation will lead to criminal charges or to individual charges for supervisors and managers.
