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CFTC Issues Guidance on Corporate Compliance Program

September 10, 2020, The Wall Street Journal

Anne Termine is quoted in The Wall Street Journal regarding a memo from the U.S. Commodity Futures Trading Commission detailing how it will evaluate corporate compliance programs. Ms. Termine says, “It’s making clear the expectation that industry and market participants should operate in a certain way and have clear and robust systems and controls.”

The guidance sends a message that companies can’t just have a compliance program in name only. “They should be iterative, not static programs—you need to constantly look at them and see how they need to evolve as the business evolves,” she adds.

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