The US Commodity Futures Trading Commission and the US Securities and Exchange Commission 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 this episode Matthew Kluchenek and Richard Rosenfeld 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.
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