April 13. 2022

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

  • April 27: The Current False Claims Act Compliance and Litigation  

CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.

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