ANALYSIS: Tips on Using the CFTC Compliance Guidance

Lawyers can use the CFTC’s newly released compliance guide to help companies that are not subject to a regulatory investigation possibly avoid one. The short framework can be used to determine how effective compliance programs are in detecting, preventing, or remediating misconduct.

On Sept. 10, the Commodity Futures Trading Commission (CFTC) issued guidance for its Division of Enforcement staff to use when evaluating compliance programs as part of an enforcement matter. The guidance does not represent a new policy for the agency, but does clarify what it will consider when assessing an entity’s compliance program during an enforcement investigation. It ...