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CFTC and SRO enforcement trends: the year in review

part of the FIA Law & Compliance Division webinar series

30 January 2020 • 10:00 AM - 11:00 AM ET • Webinar
Register Now
Add to Calendar 2020-01-30 10:00:00 2020-01-30 11:00:00 CFTC and SRO enforcement trends: the year in review 2019 was a busy year for CFTC and SRO enforcement. Learn More FIA info@fia.org America/New_York public

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 will review the key enforcement matters brought during 2019, including coordination with criminal authorities, and discuss potential compliance solutions and policies to assist market participants to avoid enforcement actions.

Topics will include:

  • Spoofing
  • Manipulation
  • Fraud
  • Failure to supervise
  • Details
Hosts: Stephen Obie & Trantner Wilson of Jones Day
Date/Time: Thursday, January 30, 2020. 10:00 a.m. – 11.00 a.m. ET
Register Now
Add to Calendar 2020-01-30 10:00:00 2020-01-30 11:00:00 CFTC and SRO enforcement trends: the year in review 2019 was a busy year for CFTC and SRO enforcement. Learn More FIA info@fia.org America/New_York public