On September 10, the Commodity Futures Trading Commission’s Division of Enforcement (Division) issued guidance outlining factors to consider when evaluating compliance programs as part of enforcement matters.
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civil monetary penalties
CFTC Division of Enforcement Issues Civil Monetary Penalty Guidance
By Kevin M. Foley & Stanley V. Polit on
Posted in CFTC
On May 20, the Commodity Futures Trading Commission’s Division of Enforcement (Division) issued new guidance (Guidance) outlining factors the Division will consider in recommending civil monetary penalties (CMPs) imposed by the CFTC in enforcement actions. This is the first publicly issued Division CMP guidance since the CFTC published its penalty guidelines in 1994. The Guidance is designed to provide market participants with greater transparency as to Division staff’s decision-making criteria regarding CMPs.
Continue Reading CFTC Division of Enforcement Issues Civil Monetary Penalty Guidance