May 30, 2019
The US Commodity Futures Trading Commission and the US Securities
and Exchange Commission have been aggressive in enforcing
violations of the statutes that they administer. With respect to
the CFTC, enforcement has been among the most vigorous in the
history of the CFTC, including more enforcement actions, more
penalties, more large-scale matters, more accountability and more
partnering with criminal law enforcement at home and abroad. In
regard to the SEC, it remains aggressive and continues to bring
enforcement actions at a historic rate. During this episode Matthew
Kluchenek and Richard Rosenfeld focus on a quick overview of the
derivatives and futures regulators, their roles and jurisdiction at
the outset and enforcement trends and near-term enforcement
expectations.