CFTC enforcement and the push to data-driven cases
part of the L&C Division webinar series23 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.
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.