CFTC Investigation and Enforcement Process Flowchart | Practical Law

CFTC Investigation and Enforcement Process Flowchart | Practical Law

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CFTC Investigation and Enforcement Process Flowchart

Practical Law Checklist w-031-4981 (Approx. 3 pages)

CFTC Investigation and Enforcement Process Flowchart

by Daniel Chirlin, Walden Macht & Haran LLP, with Practical Law Securities Litigation & White Collar Crime
MaintainedUSA (National/Federal)
A flowchart outlining the CFTC's process of investigation and enforcement. It covers each stage of the investigation, from the time when the investigation is triggered, through fact gathering, the Wells process, the decision whether to recommend an enforcement action, the Commission's decision, and the choice of forum.