FIA hosted 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, this webinar examines the implications for trading firms as they continue to develop and refine recordkeeping, trade surveillance and compliance monitoring capabilities. The webinar also discusses how the growth of data-driven enforcement means can impact a trading firm that is involved in a trading conduct investigation.
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.
- Law & Compliance