Is the CFTC’s Enforcement Program expanding the supervisory duties of CFTC registrants beyond the text of the CFTC’s supervision rules? The panel will focus on recent trends in CFTC enforcement actions to help you assess the appropriate scope of your supervisory policies and procedures for registrants and non-registrants alike. A representative of the CFTC’s Market Participants Division will also discuss her views about the duty to supervise.
| Host: | Natalie Tynan, Associate General Counsel, Head of Technology, Documentation Strategy, FIA |
| Panelist: | Pamela Geraghty, Deputy Director, Market Participants Division, CFTC Margo Bailey, Partner, Willkie Farr & Gallagher Neal Kumar, Partner, Willkie Farr & Gallagher Paul Pantano Senior Counsel, Willkie Farr & Gallagher |
