“At the Crossroads: CFTC and DOJ Enforcement” is a weekly video series hosted by Mayer Brown partners Matt Kluchenek and Glen Kopp.
Each episode, they discuss a topic at the intersection of enforcement by the Commodity Futures Trading Commission (CFTC) and the Department of Justice (DOJ). The goal: to help legal and compliance departments protect their organizations in an increasingly rigorous regulatory environment.
Episode 1: Insider Trading in the Commodities/Derivatives Markets
In the first episode, Matt and Glen explore recent enforcement activities by the CFTC and DOJ and how market participants can protect themselves.
Episode 2: Joint vs. Parallel Investigations
Matt and Glen discuss a recent decision and explore the differences between “joint” vs. “parallel” investigations and the implications for defendants and their employers, as well as for the agencies.
Episode 3: The 5th Amendment and SRO Proceedings
Can the 5th amendment protection be applied in self-regulatory organization (SRO) proceedings? In this week’s episode, Mayer Brown partners Matt Kluchenek and Glen Kopp answer this question and discuss what to do if an SRO requests testimony for an investigation regarding an alleged rule violation.