Articles

Results 1 to 5 of 7


The CFTC Debuts Its First Publicly Available Enforcement Manual - A Snapshot of Key Provisions and Issues

USA - May 13 2019 The Commodity Futures Trading Commission's ("CFTC") new Enforcement Manual ("Manual"), while codifying past practice and pronouncements, hints that…

Paul J. Devlin, Lee S. Richards, III

CFTC Cooperation Guidance

USA - January 24 2017 On January 19, 2017, the Division of Enforcement of the Commodity Futures Trading Commission ("CFTC") issued two advisories outlining cooperation…

CFTC enforcement outlook

USA - April 1 2014 Gretchen L. Lowe, Acting Director of the Division of Enforcement of the U.S. Commodity Futures Trading Commission (CFTC), participated in a March 31…

Benchmarking LIBOR: a controversial history, an uncertain future

United Kingdom, USA - March 24 2014 As the primary global benchmark for short-term interest rates/ the London Interbank Offered Rate (LIBOR) serves as an indicator for many currencies…

Jon Kibbe

Regulatory challenges for public companies

USA - January 6 2010 Examination of US regulatory enforcement actions and criminal investigations and prosecutions in 2009 suggests that the Securities and Exchange Commission (SEC) and United States Department of Justice (DOJ) have intensified their focus on senior executives and are targeting them even in the absence of evidence of actual participation in any misconduct.

James Q. Walker