CFTC Division of Enforcement Releases First-Ever Enforcement Manual
On May 8, 2019, the Division of Enforcement made public its first-ever Enforcement Manual. During his remarks at the Future Industry Association’s Law & Compliance Division Conference, the Division’s Director stated that the decision to create and publish the Enforcement Manual “was rooted in the common sense notion that our policies and procedures should be readily accessible to those affected by them.”The Enforcement Manual is intended to serve as a general reference for the Division’s Staff in conducting its investigations and litigating potential violations of the Commodity Exchange Act and Commission Regulations. The Division’s Director noted the importance of having transparent policies in order to promote consistency across the Division’s multiple offices and teams in order to promote fairness and increase predictability.
