The US Commodity Futures Trading Commission (CFTC) and the US Securities and Exchange Commission (SEC) have been aggressive in enforcing violations of the statutes that they administer. With respect to the CFTC, enforcement has been among the most vigorous in the history of the CFTC, including more enforcement actions, more penalties, more large-scale matters, more accountability and more partnering with criminal law enforcement at home and abroad. In regard to the SEC, it remains aggressive and continues to bring enforcement actions at a historic rate. 

During our call, we will focus on a quick overview of the derivatives and futures regulators, their roles and jurisdiction at the outset and enforcement trends and near-term enforcement expectations. The agenda is as follows:

  • The roles of the CFTC and similar regulators
  • The scope of their jurisdiction
  • Nine enforcement trends impacting both the derivatives and securities markets

Please join Mayer Brown partners Matt Kluchenek and Rich Rosenfeld to hear about these important developments. 

Mayer Brown’s Global Financial Markets Initiative helps clients deal with the legal and business challenges resulting from the ongoing turbulence in worldwide financial markets. By mobilizing the firm’s global resources from multiple practices and offices, the initiative provides clients with knowledgeable and timely counsel on a broad spectrum of their legal needs.