Nicholas Wendland

Nicholas Wendland

Faegre Drinker Biddle & Reath LLP

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CFTC Continues Efforts to Increase Enforcement Transparency – Issues New Guidance on Evaluating Corporate Compliance Program

On September 10, 2020, the CFTC announced the issuance of new, public, guidance to its enforcement staff on evaluating the adequacy of corporate compliance programs. The new guidance provides enforcement staff a framework...more

9/18/2020  /  Best Practices , CFTC , Compliance , Derivatives , Enforcement Actions , Futures , Transparency
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