CFTC Provides Guidance on Cooperation in Enforcement Actions
Authors
The Commodity Futures Trading Commission (CFTC) issued a memorandum on October 29, 2020, intended to provide guidance to the staff of the CFTC’s Enforcement Division on “recommending the recognition of a respondent’s cooperation, self-reporting, and remediation” in CFTC enforcement orders. The aim of the memorandum is “to provide transparency and clarity regarding when and how the Division will recommend that these assessments be reflected and recognized in [CFTC] enforcement orders” – and nothing more.
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