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Deterrence to the fore in CFTC enforcement guidance

Photo: Getty Images

Thomas Hyrkiel

2 min read
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New guidance addresses monetary penalties, recidivism, monitor and consultant undertakings as well as admission resolutions.

The CFTC has released guidance to its enforcement staff on the appropriateness of penalties in specific enforcement actions. CFTC Chairman Rostin Behnam said that showing how key terms of resolutions are approached is intended “to ensure greater transparency and answerability throughout the process”.

The intention is also to ensure that

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