Self|Reporting and Cooperation at the CFTC

Self-Reporting, Cooperation, and Remediation | CFTC

The Division of Enforcement has published several advisories regarding self-reporting, cooperation, and remediation.

Advisory on Self Reporting and Cooperation for CEA Violations ...

1 CFTC registrants have existing, independent reporting obligations to the Commission requiring them, among other things, to report any material ...

Enforcement Cooperation Advisory

www.cftc.gov. ENFORCEMENT ADVISORY. UPDATED ADVISORY ON SELF REPORTING AND FULL COOPERATION. On January 19, 2017, the Division of Enforcement issued two new ...

CFTC Investigations: Cooperation Credit and Self-Reporting

A company or individual can earn cooperation credit for self-reporting violations to the CFTC's Division of Enforcement (Division). According to the Division, ...

CFTC Enforcement Director Addresses Self-Reporting Benefits

... self-reporting violations to the CFTC Division of Enforcement (the Division). ... self-reporting, full cooperation and remediation. Time will tell ...

Recognizing Cooperation, Self-Reporting, and Remediation in ...

This memorandum provides guidance to Commodity Futures Trading Commission. (“CFTC” or “Commission”) Division of Enforcement (“Division”) staff ...

Statement Of CFTC Commissioner Caroline D. Pham On Self ...

Statement Of CFTC Commissioner Caroline D. Pham On Self-Reporting And Cooperation Credit In Enforcement Actions. Date 19/08/2024. While I support the ...

Self-Reporting and Cooperation at the CFTC

The goal is not to insert ourselves into a company's internal affairs, or to force a company to self-report. Rather, our goal is to emphasize ...

CFTC Issues New Enforcement Guidance on Cooperation ...

... self-reporting, cooperation or remediation in CFTC orders settling administrative enforcement proceedings. The Guidance, which appears to ...

CFTC Division of Enforcement Issues New Guidance Regarding the ...

... cooperation, self-reporting, or remediation in an enforcement order ... The Commodity Futures Trading Commission (“CFTC” or the ...

CFTC Enforcement Division Issues New Advisory on Self-Reporting ...

companies to self-report misconduct [and] cooperate fully in CFTC investigations and enforcement actions[.]” The Advisory seeks to target ...

New CFTC Enforcement Policy Encourages Self-Reporting

Specifically, the Updated Self-Reporting and Cooperation Program states that the Division will provide “substantial reductions” in civil ...

The CFTC's New Policy on Self-Reporting and Cooperation

During the question-and-answer period following his prepared remarks, McDonald revealed that a company that self-reports and cooperates can ...

Details on the CFTC's New Self-Reporting Policy | Insights

... Commodity Futures Trading Commission (CFTC). Mr. McDonald presented the CFTC's new self-reporting and cooperation policy. The new policy was ...

CFTC's Enforcement Division Issues Staff Guidance on Recognition ...

... cooperation, self-reporting, or remediation in CFTC enforcement orders. The guidance, which will be published in the agency's Enforcement ...

Enforcement Actions | CFTC

Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices See CFTC Press Release 7518-17 (January ...

CFTC commissioner warns against being 'too cute' when self-reporting

Businesses take varying approaches when self-reporting to regulatory agencies, which can lead to differing results regarding cooperation credit.

Updated Self-Reporting and Cooperation Policy at the CFTC

On September 25, 2017, James McDonald, the director of the Division of Enforcement (Division) of the U.S. Commodity Futures Trading ...

CFTC announces new self-reporting and cooperation program

Abstract. Purpose – To provide an overview of the Commodity Futures Trading Commission's (CFTC's) new self- reporting and cooperation program.

CFTC provides guidance on self-reporting, cooperation

CFTC provides guidance on self-reporting, cooperation. This guidance from the Enforcement Division highlights scenarios of how various ...