CFTC and FERC Enforcement and Compliance Update

03/18/2014 08:30 a.m. - 10:00 a.m.

Corporate Finance | Capital Markets, Derivatives + Commodities, Energy Regulatory + Litigation, Financial Services, and Finance

Morrison & Foerster LLP
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There are some new sheriffs in town. Or, rather, some old sheriffs – the CFTC and FERC – with new enforcement tools, enhanced jurisdiction, additional resources, and a renewed sense of purpose. These regulatory enforcers are investigating and bringing the types of ground-breaking enforcement actions traditionally associated with the SEC and the Department of Justice. In addition, they are responsible for increased compliance burdens at firms active in commodities and energy trading. Our experts in CFTC and FERC enforcement and regulation have extensive leadership experience at, and with, those agencies and will bring you up to date about these agencies’ recent enforcement focus and current priorities. Forewarned is forearmed.

Topics Will Include:

  • Disruptive trading practices;
  • Market and benchmark manipulation;
  • Cross-border jurisdictional issues;
  • Making false statements to the CFTC and to FERC; and
  • Proposed position limit rules.

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