Practical advice for responding to investigations in the commodities/derivatives space 2021 | FIA | 30 September 2021 | Virtual Event
Venue
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| Event Date | Thu Sep 30 EDT (about 3 years ago) |
| Location | Virtual Event |
| Region | All |
Details
A senior prosecutor from the DOJ's Market Integrity and Major Frauds unit and a senior enforcement attorney from the CFTC will join a panel of Clifford Chance attorneys to discuss and analyze recent cases and various hypothetical scenarios of investigation to assist in-house counsel in identifying potential pitfalls that can lead to charges. The hypotheticals will focus on the factors that may lead an exchange investigation to become a CFTC enforcement matter, and the factors that may lead the DOJ to bring criminal charges. The panelists will also give special attention to factors that may lead to individual liability for supervisors and managers. Finally, the panelists will offer practical advice on steps that organizations can take to mitigate the risk that an investigation will lead to criminal charges or to individual charges for supervisors and managers.
Speakers
2021 Speakers
Celeste Koeleveld
Partner, Clifford Chance US LLP
Gretchen Lowe
Chief Counsel, Division of Enforcement, Commodity Futures Trading Commission
Benjamin Peacock
Associate, Clifford Chance US LLP
Avi Perry
Assistant Chief, Fraud Section, Criminal Division, U.S. Department of Justice
David Yeres
Leader, Derivatives and Commodities Enforcement Practice, Clifford Chance US LLP
HOST:
Natalie Tynan
Associate General Counsel, Head of Technology Documentation Strategy, FIA