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CFTC records another year of aggressive spoofing enforcement

October 15, 2020, Global Investigations Review

Anne Termine is quoted in Global Investigations Review regarding this year’s aggressive spoofing enforcement from the CFTC. Ms. Termine says the marked increase in the agency’s spoofing-related enforcement actions in recent years is due to the software generating more leads. She adds that the marked increase in the agency’s spoofing-related enforcement actions in recent years is due to the software generating more leads.

She went on to say that the agency telegraphed its intention to bring more anti-money laundering enforcements by publishing a guidance notice in September that outlines the factors it uses to assess corporate compliance programs.

Ms. Termine adds that she expects enforcement to ramp up if Democratic candidate Joe Biden wins the election because the party wants to be seen as tough on financial crime. “Republicans haven’t been soft on enforcement. But a new administration could be even more tough.”

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