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CFTC releases self-reporting and cooperation rubric

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Photo: chiewr/Getty Images

Alexander Barzacanos

3 min read
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Enforcement Advisory offers clarity into how the commodities regulator will offer credit against penalties for meritorious conduct. But there are concerns.

The first Enforcement Advisory on Self-Reporting, Cooperation, and Remediation of its kind has been released by the Commodities Futures Trading Commission (CFTC).

Unlike previous guidance, the Advisory lays out a rubric the CFTC’s Enforcement division will use to assess self-reporting and cooperation. An individual or entity’s cooperation and self-reporting behavior

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