US COMMODITY FUTURES TRADING COMMISSION (CFTC) ISSUES OWN GUIDANCE ON EVALUATING COMPLIANCE PROGRAMMES

On 11 September, Compliance Week reported that the CFTC has issued guidance to companies on how it will evaluate compliance programmes in connection with enforcement matters.  It says that the 3-page guidance is much shorter than that of the DoJ.

https://www.complianceweek.com/regulatory-enforcement/cftc-issues-own-guidance-on-evaluating-compliance-programs/29442.article

https://www.cftc.gov/PressRoom/PressReleases/8235-20

Author: raytodd2017

Chartered Legal Executive and former senior manager with Isle of Man Customs and Excise, where I was (amongst other things) Sanctions Officer (for UN/EU sanctions), Export Licensing Officer and Manager of the Legal-Library & Collectorate Support Section

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