Venue
Virtual Event

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Event Date Thu Sep 30 EDT (27 days 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