SEC, CFTC and DOJ Enforcement Trends

While the CFTC has been firing on all enforcement cylinders for several years, the SEC and DOJ, under new leadership, are gearing up to grab headlines through aggressive white collar enforcement initiatives and prosecutions.

In roundtable fashion, this webinar will address what the three authorities are especially interested in right now related to enforcement, areas such as:

Spoofing and manipulation
Employee use of unapproved communication devices
Supervision and the role of automated surveillance
SPACs
Insider trading in the commodities markets (versus in the securities markets)
Cryptocurrencies
Cooperation in an enforcement proceeding, including the critical role of remediation

Join us to learn what SEC, CFTC and DOJ enforcement is focused on and how to stay out of their crosshairs via compliance programs and other prophylactic measures.

Upcoming Webinars