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Krista has experience handling a range of issues arising from government investigations, including proceedings by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). She has also assisted with corporate internal investigations and provides legal counsel to the independent directors of registered investment companies.
The co-directors of the U.S. Securities and Exchange Commission’s Enforcement Division, Stephanie Avakian and Steven Peikin, recently released the SEC division’s 2017 annual report and took the opportunity to highlight their enforcement priorities.
The U.S. Commodity Futures Trading Commission (CFTC) recently announced its first use of non-prosecution agreements – in connection with three Citigroup employees accused of utilizing spoofing strategies.
Tort Trial & Insurance Practice Law Journal
The Consumer Financial Protection Bureau (CFPB) has proposed new rules that would largely ban the use of “no class action” arbitration provisions in consumer financial products and services agreements. 81 Fed. Reg. 32,830-01 (May 24, 2016).
In a move designed to reduce market manipulation, the SEC approved a proposed FINRA rule on April 7, 2016, that would require algorithmic trading developers to register as securities traders.
On April 4, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced that it had unanimously approved proposed guidance regarding the appropriate treatment of certain electric power and natural gas contracts under the definition of the term “swap.”
The U.S. Commodity Futures Trading Commission recently issued its largest ever whistleblower award—over $10 million—for information that led to a major CFTC enforcement action.