CFTC Investigations of Individuals: Obtaining Cooperation Credit | Practical Law
A Practice Note explaining the main factors the Commodity Futures Trading Commission (CFTC) considers in post-investigation settlement discussions when determining whether an individual is eligible for cooperation credit. This Note covers each of the main categories the CFTC uses to measure an individual's cooperation, including self-reporting, full cooperation, remediation, and recidivism, and offers counsel tips and best practices for maximizing the chances of obtaining cooperation credit.