Join us for an in-depth analysis of the current enforcement regulatory priorities from the Commodity Futures Trading Commission (CFTC) and The National Futures Association (NFA).
Due to the recent changes under Dodd-Frank, both the CFTC and NFA have increased enforcement initatives and activities. Join us as CFTC and NFA panelists address recent expansion to both CFTC and NFA powers and jurisdiction over certain products under Dodd-Frank. They will also address their processes for investigating and filing civil enforcement actions, recent enforcement cases and priorities, and their respective roles related to commodities, swaps and other products within their jurisdiction.
Topics:
1. Understanding CFTC and NFA Jurisdiction
2. Processes Used to Investigate CFTC/NFA Enforcement Matters
3. Settlements and Hearings
4. Respective Roles of CFTC/NFA and Interaction With Other Regulators
Panelists:
Paul G. Hayeck, Esq.
Commodity Futures Trading Commission
Associate Director of Enforcement
Ronald V. Hirst, Esq.
National Futures Association & Enforcement Coordinator
Associate General Counsel
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