The third edition of Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations authored by Kirkland & Ellis partner, Zachary S. Brez, P.C. was published in December 2017 as part of Bloomberg BNA’s Securities Practice Portfolio Series.
With the Commodities Futures Trading Commission (CFTC) expansive regulatory and enforcement powers, this portfolio provides practitioners with a field guide for handling CFTC and other self-regulatory organization (SRO) investigations, detailing the organizations’ investigative and enforcement processes, highlighting potential pitfalls, and emphasizing best practices.
Topics covered include:
- A detailed discussion of the CFTC’s structure and enforcement mechanisms, as well as those of the SROs under the CFTC’s purview.
- A history and overview of the U.S. commodity futures market and regulation.
- A detailed analysis of recent enforcement trends and high-profile CFTC cases.
- Key areas of regulatory scrutiny, such as position limits, market manipulation, and disruptive trading practices.