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The regulator’s enforcement division has issued an advisory that is urging staff to focus on deterrence, particularly for recidivists.
The Commodity Futures Trading Commission’s Division of Enforcement has issued an advisory “designed to give enforcement staff guidance on future enforcement resolution recommendations to the Commission.” One long-time securities industry observer summarized the enforcement advisory’s import by saying “The big news here is that the CFTC will no longer be letting firms off the hook...
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