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Practical Law The Journal Publishes Daniel Chirlin’s Article "Roadmap of the CFTC’s Investigation and Enforcement Process"
October 10, 2019
There was a dramatic increase in enforcement activity by the Commodity Futures Trading Commission (CFTC) last year that shows no signs of slowing down. Individuals and entities that are under investigation by the CFTC face various pitfalls and potentially significant penalties. By understanding the CFTC’s investigation process and following certain best practices, defense counsel can take proactive steps to effectively interact with the CFTC’s staff and avoid or minimize the impact of an enforcement action.