This program is for those who may be involved with a Commodity Futures Trading Commission or Securities and Exchange Commission enforcement action or be a plaintiff or defendant in litigation regarding derivatives. It answers how enforcement actions are initiated by the Commodity Futures Trading Commission or the Securities and Exchange Commission and details the process for an enforcement action from start to finish. Private rights of action under the Commodity Exchange Act and related federal and state statutes are examined. This program also assesses the intersection between enforcement actions and civil litigation, top enforcement and litigation risks, and how to conduct an internal investigation.
This program is a must for anyone potentially involved with derivatives-related enforcement actions or litigation.
Program Chair: Gary E. Kalbaugh, Deputy General Counsel and Director, ING Financial Holdings Corp.
Sponsoring Association Committee: Futures and Derivatives Regulation | Robert M. McLaughlin, Chair