2019 was a busy year for CFTC and SRO enforcement. At the first FIA Law & Compliance Division webinar for 2020, Stephen Obie and Alice Trantner Wilson of Jones Day will review the key enforcement matters brought during 2019, including coordination with criminal authorities, and discuss potential compliance solutions and policies to assist market participants to avoid enforcement actions.
Topics will include:
Failure to supervise
Stephen Obie and Trantner Wilson of Jones Day