David Rybicki

David Rybicki

K&L Gates LLP

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The CFTC's Enforcement Division Again Puts Market Participants on Notice About Its Expectations Concerning Compliance Programs

Continuing to press the message that implementing and enforcing an effective compliance program is a business imperative, not an optional “best practice,” on 10 September 2020, the Commodity Futures Trading Commission (CFTC)...more

10/8/2020  /  Asset Management , CFTC , Compliance , Derivatives , Financial Markets , Investment Funds
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