Jamie McDonald, Katy McArthur and Colin Lloyd offered commentary on the Commodity Futures Trading Commission’s updated enforcement guidance on New York University School of Law’s Compliance & Enforcement Blog.
“The Division of Enforcement should be commended for its efforts to offer more clarity about its enforcement priorities, policies and general approach,” they noted. “Yet the Advisory leaves open a number of important questions, which will be addressed in its application to particular cases.”
Jamie, Katy and Colin explore questions such as if policies apply equally to regulated and unregulated markets and activities and how self-reporting and cooperation in achieving a more favorable resolution will be rewarded.
Read “The Advisory Adds Clarity, But Leaves Unanswered Questions.”