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Client Alert February 16, 2023

Traders Can Stand Up to Investigations from Regulators and Exchanges

  • U.S. government regulators are ramping up enforcement actions against traders for alleged market manipulation and spoofing.
  • Exchanges and self-regulatory organizations are piling on, subjecting traders to their own investigations.
  • Traders should not be afraid to stand up to these entities, and there are effective counteroffensive measures that can drive successful outcomes.

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Client Alert October 15, 2021

Traders Should Stop Running from Risk in CFTC Investigations

  • The U.S. Commodity Futures Trading Commission (CFTC) has quietly increased scrutiny of digital currency markets, focusing on spoofing.
  • Successful traders normally do not run from risk in their trading activities, yet they often do exactly that in the face of unfamiliar regulatory risks, leading to worse outcomes.
  • Targets of regulatory enforcement should therefore consider a range of aggressive measures before responding to inquiries from enforcement authorities.

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