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FREE: Washington DC Compliance Roundtable – CFTC Enforcement Update – Developments & Trends with Rick Glaser, Deputy Director in the Division of Enforcement of the CFTC
September 12 @ 3:30 pm - 5:00 pm CDT
Come join us for a lively discussion about CFTC enforcement developments and trends, followed by a networking session. Discussion topics:
- Insight into Recent CTFC Enforcement Developments
- Best Industry Practices
- Practical Advice on Developing and Maintaining a Legal Compliance Culture
Our presenter is Rick Glaser, a Deputy Director in the Division of Enforcement of the Commodity Futures Trading Commission. Mr. Glaser started his career with the CFTC in 1998. Currently, Mr. Glaser supervises approximately 30 attorneys, investigators and paralegals in the investigation and prosecution of manipulation, trade practice and commodities fraud cases. Over the years Mr. Glaser and his attorneys have brought over 150 cases involving, among other things, manipulation in energy and agricultural markets, swaps data reporting, spoofing, multi-million dollar futures, forex, metals, and cryptocurrency Ponzi schemes; fraud and misappropriation by commodity pool operators and commodity trading advisors, and a variety of trade practice cases. In addition, Mr. Glaser created and supervises the CFTC’s Registration Deficient (RED) List.
To register, click here.