CFTC enforcement and the push to data-driven cases

part of the L&C Division webinar series

30 July 2020 • 10:00 AM - 11:00 AM ET • Webinar

Join us for a discussion of and observations on the trend towards data-driven enforcement investigations by the CFTC.  In addition to discussing the data tools that CFTC enforcement is using to enhance their own enforcement program, we will look at the implications for trading firms as they continue to develop and refine recordkeeping, trade surveillance and compliance monitoring capabilities.  We will also discuss how the growth of data-driven enforcement means can impact a trading firm that is involved in a trading conduct investigation. 

FIA CFTC enforcement
Michael Sorrell, Associate General Counsel, FIA
Presenters: Kathleen McArthur, Partner, Sullivan & Cromwell LLP 
Ryne Miller, Partner, Sullivan & Cromwell LLP 
Date/Time: Thursday, July 23, 2020 | 10:00 a.m. – 11:00 a.m. ET

This webinar is intended for informational purposes only and is not intended to provide investment, tax, business, legal or professional advice. Neither FIA nor its members endorse, approve, recommend, or certify any information, opinion, product, or service referenced in this webinar. FIA makes no representations, warranties, or guarantees as to the webinar’s content.