The number of public company and accounting fraud cases filed under SEC Chair Jay Clayton has declined. The SEC, however, continues to selectively pursue these types of cases. In the latest example, in aggressive parallel...more
The U.S. Commodity Futures Trading Commission (“CFTC”) sent a strong message to Chief Compliance Officers (“CCO”) this week when it held a CCO held accountable for lying to the National Futures Association (“NFA”) during an...more
9/19/2019
/ Administrative Proceedings ,
Bad Actors ,
CEOs ,
CFTC ,
Chief Compliance Officers ,
Commodity Exchange Act (CEA) ,
Commodity Futures Contracts ,
Enforcement Actions ,
Misappropriation ,
National Futures Association ,
Private Equity Funds