Practical advice for responding to investigations in the commodities/derivatives space

Part of the L&C webinar series

30 September 2021 • 10:00 AM - 11:00 AM ET

A senior prosecutor from the DOJ's Market Integrity and Major Frauds unit and a senior enforcement attorney from the CFTC will join a panel of Clifford Chance attorneys to discuss and analyze recent cases and various hypothetical scenarios of investigation to assist in-house counsel in identifying potential pitfalls that can lead to charges. The hypotheticals will focus on the factors that may lead an exchange investigation to become a CFTC enforcement matter, and the factors that may lead the DOJ to bring criminal charges.  The panelists will also give special attention to factors that may lead to individual liability for supervisors and managers.  Finally, the panelists will offer practical advice on steps that organizations can take to mitigate the risk that an investigation will lead to criminal charges or to individual charges for supervisors and managers.

Host: Natalie Tynan, Associate General Counsel, Head of Technology Documentation Strategy, FIA
Speakers: Celeste Koeleveld, Partner, Clifford Chance US LLP
Gretchen Lowe, Chief Counsel, Division of Enforcement, Commodity Futures Trading Commission
Benjamin Peacock, Associate, Clifford Chance US LLP
Avi Perry, Assistant Chief, Fraud Section, Criminal Division, U.S. Department of Justice
David Yeres, Leader, Derivatives and Commodities Enforcement Practice, Clifford Chance US LLP

Thursday, 30 September 2021 | 10:00  – 11:00 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.