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ARTICLE · 13 FEBRUARY 2017

CFTC Division Of Enforcement Issues Advisories On Cooperation

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On January 19, 2017, the Commodity Futures Trading Commission Division of Enforcement issued two new enforcement advisories outlining the factors that it will consider in evaluating cooperation...

United StatesFinance and Banking
Donna Parisi
Donna Parisi
Geoffrey Goldman
Geoffrey Goldman
Azam Aziz
Azam Aziz
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On January 19 2017 the Commodity Futures Trading Commission (CFTC) Division of Enforcement issued two new enforcement advisories outlining the factors that it will consider in evaluating cooperation by individuals and companies in its investigations and enforcement actions.1

The CFTC gives credit for:

  • cooperation in determining whether enforcement action is warranted;
  • the nature of charges that should be brought; and
  • the appropriate level of sanctions to impose or seek.

With the issuance of the recent advisories, the Division of Enforcement aims to further incentivise individuals and companies to cooperate fully and truthfully in CFTC investigations and enforcement actions by:

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