Self-reporting
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CFTC Commissioner Mersinger on cooperation credit and avoiding chasing trends
Mersinger’s remarks revolved around CFTC enforcement and ideas for improvement, especially in the extension of cooperation credit.
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Barclays will pay $4m to settle CFTC charges over swap reporting
Significant cooperation and remediation resulted in a reduced civil fine for the firm.
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DOJ pilot program offers leniency for some executive criminal tipsters
Pilot program at DOJ will give immunity to executives providing information about corporate misconduct in which they were involved.
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SIFMA 2024: Off-channel communications strategies and solutions
At the SIFMA annual conference event last week, off-channel communication recordkeeping challenges and possible solutions proved to be a popular panel topic.
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XLoD London 2023: What the SEC means by proactive compliance
In this session, Lindsay Moilanen, Assistant Regional Director at the SEC, outlined the Commission’s current priorities.
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Compliance roundtable discussion tackles devil in the detail
Compliance professionals wrestled with current challenges at the latest Global Relay roundtable event in London.