As we prepare for a full schedule of events in 2024, starting with an event on Voluntary Self-Disclosure Policy for Export Controls Violations on January 16, 2024, the NYU School of Law Program on Corporate Compliance and Enforcement (PCCE) is taking a moment to reflect on our busy Fall 2023 program. In this post, we review our October 17, 2023 event featuring a corporate and individual enforcement policy announcement by the CFTC’s Director of Enforcement.
Ian McGinley, CFTC Director of Enforcement (©Myaskovsky: Courtesy of NYU Photo Bureau)
On October 17, 2023, PCCE hosted Ian McGinley, the Director of Enforcement for the Commodity Futures Trading Commission (CFTC), to announce updated enforcement guidance to CFTC staff on penalties, monitors, and admissions. Director McGinley’s remarks were followed by a fireside chat and moderated Q&A with questions from the audience, and later by a moderated panel of former CFTC enforcement directors and senior enforcement counsel. The updated staff guidance is available here. A link to Director McGinley’s speech is here. A link to comments from the panelists is here.
CFTC Director of Enforcement Ian McGinley and PCCE Faculty Director Jennifer Arlen (©Myaskovsky: Courtesy of NYU Photo Bureau)
(©Myaskovsky: Courtesy of NYU Photo Bureau)
Following Director McGinley’s remarks and fireside chat, there was a moderated panel discussion by former CFTC Enforcement Directors and Chief Trial Attorneys. Panelists included:
- Elizabeth Davis, Partner, Davis Wright Tremaine (former CFTC Chief Trial Attorney)
- Jamie McDonald, Partner, Sullivan & Cromwell (former CFTC Director of Enforcement)
- David Meister, Partner, Skadden (former CFTC Director of Enforcement)
- Douglas Yatter, Partner, Latham & Watkins (former CFTC Chief Trial Attorney)
For bios of the speakers and a full agenda, visit our webpage.
Left to Right: David Meister, Douglas Yatter, Elizabeth Davis, Jennifer Arlen, and James McDonald (©Myaskovsky: Courtesy of NYU Photo Bureau)
Christy Goldsmith Romero, Commissioner, CFTC, and Manal Sultan, Deputy Director of Enforcement, CFTC (©Myaskovsky: Courtesy of NYU Photo Bureau)
David Meister, Elizabeth Davis, and James McDonald (©Myaskovsky: Courtesy of NYU Photo Bureau)
Douglas Yatter and David Meister (©Myaskovsky: Courtesy of NYU Photo Bureau)
A reception followed the panel.
Manal Sultan; Lenel Hickson, Deputy Regional Counsel, CFTC; James McDonald; and Hon. John Cronan, U.S. District Judge, SDNY (©Myaskovsky: Courtesy of NYU Photo Bureau)
Matthew Podolsky, Co-Chief, Securities & Commodities Fraud Task Force, U.S. Attorney’s Office for the SDNY and Jacqueline Chervak, Morrison & Foerster (©Myaskovsky: Courtesy of NYU Photo Bureau)
(©Myaskovsky: Courtesy of NYU Photo Bureau)
PCCE Student Fellows Dhivya Uppilisrinivasan, Alexandra Andrei, Hector Correa Gaviria, and Berke Gursoy (©Myaskovsky: Courtesy of NYU Photo Bureau)