Market participants subject to enforcement investigations by the CFTC are increasingly having to deal not only with a single investigation, but also parallel investigations by the Department of Justice, non-U.S. regulators, and sometimes the financial exchanges and other SROs.
CONTINUE READINGFIA’s quarterly review of volume and open interest on derivatives exchanges worldwide. This webinar will provide insights into trends in trading activity in the global listed derivatives markets for the year to date.
CONTINUE READINGThe U.S. Department of Justice (DOJ) and Commodity Futures Trading Commission (CFTC) are highly focused on commodities enforcement investigations and actions alleging market manipulation, spoofing, insider trading, breach of fiduciary duty, and fraud.
CONTINUE READINGThe Digital Operational Resilience Act (DORA) sets out detailed requirements for incident reporting, ICT risk management, subcontracting, threat-led penetration testing, among other areas.
CONTINUE READINGPaul Hastings LLP will discuss the CFTC's policy on self-reporting and cooperation credit in enforcement actions, its application in recent cases and calls for reform.
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