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ARTICLE · 16 MAY 2021

The 5th Amendment And SRO Proceedings (Video)

Mayer Brown
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At the Crossroads: CFTC and DOJ Enforcement is a video weekly series hosted by Matt and Glen. Each episode, they discuss a topic at the intersection of enforcement by the US Commodity Futures...

United StatesFinance and Banking
Matthew F. Kluchenek
Matthew F. Kluchenek
Glen A. Kopp
Glen A. Kopp
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At the Crossroads: CFTC and DOJ Enforcement is a video weekly series hosted by Matt and Glen. Each episode, they discuss a topic at the intersection of enforcement by the US Commodity Futures Trading Commission (CFTC) and the US Department of Justice (DOJ). The goal: to help legal and compliance departments protect their organizations in an increasingly rigorous regulatory environment.

Can the 5th amendment protection be applied in self-regulatory organization (SRO) proceedings? In this week's episode, Mayer Brown partners Matt Kluchenek and Glen Kopp answer this question and discuss what to do if an SRO requests testimony for an investigation regarding an alleged rule violation. 

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This Mayer Brown article provides information and comments on legal issues and developments of interest. The foregoing is not a comprehensive treatment of the subject matter covered and is not intended to provide legal advice. Readers should seek specific legal advice before taking any action with respect to the matters discussed herein.

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