The Advisory sets out factors that the Enforcement Division will use to rate self-reporting and cooperation. This rating places a company or individual within a “tier” used to determine the Mitigation ...

The Commodity Futures Trading Commission (CFTC) issued new guidance for firms seeking to self-report misconduct, accompanied by a “mitigation credit index” that details how “exemplary” cooperation and ...

The SEC not only had a record $8.2 billion figure for financial remedies in fiscal year 2024 but also saw a sharp increase in the number of public companies that cooperated with its investigations.

Companies will receive more incentives to self-report possible misconduct under a new enforcement advisory released Tuesday by the U.S. Commodity Futures Trading Commission. The CFTC’s Enforcement ...

In an advisory announced February 25, 2025, the Division of Enforcement of the Commodity Futures Trading Commission (CFTC or Commission) announced a new regime for assessing cooperation credit in ...

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