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4 Ways To Prepare For SEC Or CFTC Penalty Negotiations

By Robert Cohen, Stefani Myrick and Benjamin Wasserman (August 28, 2020, 2:49 PM EDT) -- The Commodity Futures Trading Commission issued guidance in May listing the factors its Division of Enforcement will consider when recommending civil monetary penalties.[1] The guidance sets forth broad discretion for the agency in assessing penalties, which is similar to the broad penalty authority of the U.S. Securities and Exchange Commission....

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