Enforcement: CFTC, NFA, SRO Enforcement and Exams


Enforcement: CFTC, NFA, SRO Enforcement and Exams

Date & Time
May 3, 2018
7:45 PM - 8:45 PM EDT
Washington, D.C.

FIA 40th Annual Law & Compliance Division Conference

Partner Stacie Hartman will speak on a panel providing an overview of the most recent enforcement actions and litigation in our industry, particularly those regarding the U.S. Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), and self-regulatory organizations (SRO). The panel will focus on significant enforcement developments, including actions relating to virtual currency and by exchanges regarding disruptive trading; and discuss the challenges of monitoring for prohibited trading activities such as spoofing.

For more information, click here.