Increased Scrutiny of Futures and Derivatives Market Participants: Key Areas of DOJ, CFTC and Exchange Enforcement
As scrutiny of futures and derivatives market participants escalates and enforcement activities in this area intensify, this presentation will discuss current enforcement trends, recent significant cases, and compliance tips. Key areas of focus will include manipulative and disruptive trading (or “spoofing”), including both criminal and civil enforcement actions, as well as recent enforcement actions in the following areas: false statements, speculative position limits, swap execution facility issues and trade errors, trade allocation, required reports, loans to CPOs, and increased coordination with criminal and civil enforcement authorities.
Hedge Funds partner, Ropes & Gray
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