Fisher, Alice S.; Yatter, Douglas K.; Greenburg, Douglas N. - In: Journal of Investment Compliance 20 (2019) 3, pp. 32-38
Purpose: This paper aims to analyze the March 6, 2019 enforcement advisory in which the Division of Enforcement (Division) of the US Commodity Futures Trading Commission (CFTC or Commission) announced that it will work alongside the US Department of Justice (DOJ) and other agencies to...