May 12, 2021

The 5th Amendment and SRO Proceedings


At the Crossroads: CFTC and DOJ Enforcement is a video weekly series hosted by Matt and Glen. Each episode, they discuss a topic at the intersection of enforcement by the US Commodity Futures Trading Commission (CFTC) and the US Department of Justice (DOJ). The goal: to help legal and compliance departments protect their organizations in an increasingly rigorous regulatory environment.

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. 

View our past episodes here.

Related Services & Industries

Stay Up To Date With Our Insights

See how we use a multidisciplinary, integrated approach to meet our clients' needs.