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
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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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