Kip Randall

Kip Randall

Husch Blackwell LLP

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CFTC Releases Criteria for Operating Divisions to Refer Violations to Enforcement Division

On April 17, 2025, the Commodity Futures Trading Commission’s (CFTC) Market Participants Division (MPD), the Division of Clearing and Risk (DCR), and the Division of Market Oversight (DMO)—collectively the Operating...more

4/23/2025  /  CFTC , Enforcement Actions , Financial Services Industry , Materiality , New Guidance , Regulatory Requirements , Reporting Requirements , Risk Management , Self-Reporting , Supervision

CFTC Enforcement Division Releases Mitigation Credit Matrix for Self-Reporting, Cooperation, and Remediation

On February 25, 2025, the Commodity Futures Trading Commission (CFTC) signaled a shift in its enforcement approach by releasing new guidance on the role self-reporting and cooperation play in its assessment of penalties. The...more

3/5/2025  /  CFTC , Civil Monetary Penalty , Compliance , Department of Justice (DOJ) , Enforcement Actions , Mitigation , Regulatory Requirements , Remediation , Risk Management , Self-Reporting
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