- Topics
- Regions
- Events
- Webcasts
- Resources
- CW Exclusives
- Membership
“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
CFTC stresses clarity in revised civil monetary penalty guidance
By 
Jaclyn Jaeger2020-06-03T18:19:00
The CFTC’s Division of Enforcement issued new civil monetary penalty guidance for the first time since publishing its penalty guidelines in 1994. The update is in line with recent efforts by the DOJ to crack down on commodities fraud.
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
ArticleCFTC issues own guidance on evaluating compliance programs
Like the Department of Justice before it, the Commodity Futures Trading Commission has issued guidance to companies on how it will evaluate compliance programs in connection with enforcement matters.
-
ArticleTower Research Capital to pay $67.4M in ‘spoofing’ case
Tower Research Capital will pay a combined $67.4 million to the DOJ and CFTC to resolve criminal charges on unlawful trading in the U.S. commodities market.
-
Article
Glencore announces CFTC probe
The U.S. Commodity Futures Trading Commission is investigating whether multinational commodity trading and mining company Glencore and its subsidiaries might have violated certain provisions of the Commodity Exchange Act and/or CFTC regulations.
More from Regulatory Enforcement
-
PremiumSEC charge against CCO in penny stock scheme raises more questions about gatekeeper liability
A recent complaint by the Securities and Exchange Commission against the chief compliance officer of a Chicago-based investment firm contains some of the most worrisome examples of how CCOs can be found liable for misconduct at their firm.
-
News BriefWalgreens ducked compliance, filled fake opioid prescriptions, DOJ suit alleges
Walgreens skimped on compliance and filled millions of prescriptions for narcotics that weren’t medically necessary, the Department of Justice alleged in a complaint against the company, first brought by four whistleblowers.
-
News BriefFRC discloses probe of KPMG over 2022 audit of gambling company Entain
The U.K. Financial Reporting Council disclosed an investigation into KPMG’s audit of international sports betting and gambling company Entain Group.