Why a principles-based regulatory approach works for CFTC
By 
Dave Lefort2020-06-18T18:01:00
CFTC Chairman Heath Tarbert seeks to let the evolving commodities market breathe with a “principles-based” regulatory approach.
Related articles
-
News BriefPham cries CFTC overreach against compliance officer in $48M fine of TOTSA
The Commodities Futures Trading Commission fined TOTSA TotalEnergies Trading $48 million for allegedly engaging in price manipulation, with Commissioner Carolyn Pham defending a compliance officer at the Swiss energy company accused of making false statements.
-
ArticleCFTC announces record enforcement year—and departure of enforcement head
On the same day the CFTC celebrated a record-breaking 113 enforcement actions in fiscal year 2020, the agency also announced the impending departure of Enforcement Director James McDonald.
-
ArticleCFTC issues own guidance on evaluating compliance programs
Like the Department of Justice before it, the Commodity Futures Trading Commission has issued guidance to companies on how it will evaluate compliance programs in connection with enforcement matters.
More from Opinion
-
OpinionThe Compliance - Audit Gap in ESG and Financial Reporting
ESG reporting has moved from a voluntary PR exercise to an expectation for regulators and investors, but the compliance audit gap now threatens credibility.
-
ArticleHow to promote a positive compliance culture – and why behavior matters.
No matter what compliance managers do, people continue to disregard rules. Sandro Boeri, president of the U.K.’s Chartered Institute of Internal Auditors, says a new mandatory standard for internal audit teams can help.
-
PremiumQ&A with Olga Kozak-Anlar of Robinhood Markets
Compliance Week Editor-in-Chief Aaron Nicodemus recently interviewed Olga Kozak-Anlar, Compliance AI Lead at Robinhood Markets Incorporated, about her role at Robinhood and the company’s use of AI.