Tag Archives: Douglas Yatter

Looking Back at Fall 2023 PCCE Events: CFTC Enforcement Director Announces Updates to the CFTC’s Enforcement Policies

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.

Photo of speakers

Ian McGinley, CFTC Director of Enforcement (©Myaskovsky: Courtesy of NYU Photo Bureau)

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Former CFTC Enforcement Officials Comment on the CFTC’s New Enforcement Advisory

Photo of the authors

Left to Right: Panelists David Meister, Douglas Yatter, Elizabeth Davis, Jennifer Arlen (moderator), and James McDonald (©Myaskovsky: Courtesy of NYU Photo Bureau)

On October 17, 2023, the NYU Law Program on Corporate Compliance and Enforcement (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 (available here) 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. In this post, the panelists from the event offer additional commentary on the guidance.

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