"CFTC Enforcement Outlook" by Shari Brandt

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Shari A. Brandt
April 1, 2014

Gretchen L. Lowe, Acting Director of the Division of Enforcement for the Commodity Futures Trading Commission (CFTC), participated yesterday in a panel at the SIFMA Compliance and Legal Society Annual Seminar on the topic of current enforcement issues. Though speaking on behalf of herself and not the CFTC, her remarks give helpful insight into the Division’s enforcement priorities for 2014 and factors that the Division will consider when determining whether to charge an institution.

In this memorandum, Richards Kibbe & Orbe LLP partner Shari A. Brandt discusses Lowe’s remarks and what they may indicate about the CFTC’s presence in the financial regulatory space, its jurisdiction, and its goals in the coming future.

Please click here to read the memorandum.