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The CFTC’s Enforcement Manual: Key Content and Use for Practitioners in CFTC Investigations  

Author:  Charles R. Mills.; Stacie R. Hartman.

Source: Volume 52, Number 21, December 1 2019 , pp.255-259(5)

Review of Securities & Commodities Regulation

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In this article, the authors summarize and comment on some of the particularly relevant content of the CFTC’s new enforcement manual. They find it to be an informative compilation of basic enforcement policies and procedures for both compliance personnel and defense attorneys.

Keywords: Rights of Witnesses; Wells Process; Privileges; Confidentiality

Affiliations:  1: Steptoe & Johnson LLP; 2: Steptoe & Johnson LLP.

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