What the CFTC's Operating Divisions Will Consider When Making Enforcement Referrals
By EsqSocial Corporation 23/04/25
The three operating divisions of the CFTC (Division of Market Oversight, Market Participants Division, and the Division of Clearing and Risk, together the Operating Divisions) issued an advisory on April 17, explaining the materiality criteria they will use when determining whether to make a formal referral to the agency’s Division of Enforcement (DOE) for self-reported violations, supervision violations, or other non-compliance issues (the Referral Advisory)....
By: Katten Muchin Rosenman LLP