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Practical advice for responding to investigations in the commodities / derivatives space
A senior prosecutor from the DOJ's Market Integrity and Major Frauds unit and a senior enforcement attorney from the CFTC will join a panel of Clifford Chance attorneys to discuss and analyze recent cases and various hypothetical scenarios of investigation to assist in-house counsel in identifying potential pitfalls that can lead to charges. The hypotheticals will focus on the factors that may lead an exchange investigation to become a CFTC enforcement matter, and the factors that may lead the DOJ to bring criminal charges.  The panelists will also give special attention to factors that may lead to individual liability for supervisors and managers.  Finally, the panelists will offer practical advice on steps that organizations can take to mitigate the risk that an investigation will lead to criminal charges or to individual charges for supervisors and managers.

Sep 30, 2021 10:00 AM in Eastern Time (US and Canada)

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