In this week's episode, Mayer Brown partners Matt Kluchenek and Glen Kopp continue their discussion on spoofing and other disruptive trading practices. Exchanges, operating as front-line self-regulatory organizations (SRO), have been aggressive in prosecuting spoofing and other price manipulation violations. This week, Matt and Glen delve into SRO enforcement activities in the commodities space and strategic considerations to keep in mind for spoofing investigations.
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 CFTC and the DOJ. The goal: to help legal and compliance departments protect their organizations in an increasingly rigorous regulatory environment.
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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.