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[CORRECTION] CFTC Provides Guidance on Cooperation in Enforcement Actions

In yesterday's newsletter, we identified two CFTC Advisories as newly updated guidance on cooperation that can affect civil monetary penalties in enforcement actions.

The advisories (which were undated) were featured on the CFTC's website as updated guidance on cooperation in Enforcement Actions, however, the updates were not new. (See related coverage from the CFTC: CFTC Division of Enforcement Issues Civil Monetary Penalty Guidance and CFTC Releases Enforcement Advisory on Penalties, Monitors and Admissions.)

Primary Sources

  1. CFTC Press Release: CFTC's Enforcement Division Issues New Advisories on Cooperation
  2. CFTC Division of Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies
  3. CFTC Division of Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals

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Tags

Regulated Activities
Enforcement Procedures
Regulated Entities
Regulatory Agencies
Body of Law
CEA Regulation
Jurisdiction
US - Federal
Organization
CFTC, NFA, CFTC Markets
Sub-Author
CFTC