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“Red Flags” Of Market Manipulation And Effective Compliance Programs

Last week current and former supervisory personnel in the Enforcement Divisions of the Commodity Futures Trading Commission and Federal Energy Regulatory Commission spoke – at an Energy Bar luncheon – about (1) the “red...more

11/14/2013  /  CFTC , Compliance , Enforcement , FERC , SEC

Record CFTC Fines In 2013

On October 24, 2013, the CFTC Enforcement Division announced its 2013 fiscal year results – 82 filed enforcement actions and record fines of $1.7 billion ($1.5 billion in civil penalties and $200 million in restitution and...more

10/28/2013  /  CFTC , Compliance , Enforcement Actions , Fines

CFTC (And FERC) Compliance Managers Take Note – CFTC Schedules Vote On Final Interpretation Of Disruptive Trading Practices

At its open meeting on May 16, 2013, the Commodity Futures Trading Commission will vote on the final interpretative rule for disruptive trading practices under Section 747 of the Dodd-Frank Act. That order should be of...more

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