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New Position Limit Proposal

Overview Ten years after the passing of the Wall Street Accountability Act a.k.a. Dodd Frank the Commodity Futures Trading Commission (CFTC) held a public meeting yesterday to bring forth the fifth attempt at proposing a position limit rule. Over the last 10 years the CFTC has attempted four position limit proposals. In 2011 one proposal … Read more New Position Limit Proposal

DOJ Compliance Program Guidance

Earlier this year the Department of Justice (DoJ) issued two publications for prosecuting attorneys to provide guidance on assessing the effectiveness of corporate compliance programs. The two publications (April 2019 and July of 2019) further develop and update the “Evaluation of Corporate Compliance Programs,” issued by the Criminal Division’s Fraud Section released in February 2017 … Read more DOJ Compliance Program Guidance