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“Spoofing": How to Deal with This Tricky Offense and Its Regulatory Guidelines

part of the FIA Law & Compliance Division webinar series
14 January 2016 10:00am to 11:00am EST

“Spoofing” was added to the Commodity Exchange Act’s list of specifically prohibited transactions by the 2010 Dodd-Frank amendments and is now a major component of enforcement matters pursued by the exchanges, the CFTC, and increasingly criminal authorities at the Department of Justice. Spoofing commonly refers to bidding or offering with the intent to cancel a bid or offer before execution. This webinar provides an overview of the relevant statutory provisions, rules, and related guidance on spoofing. The session also draws from several recent (and a few not-so-recent) spoofing cases to provide a practical perspective of the types of activity that have been pursued by regulators in the past, and that may be investigated in the future.

Presenters:

Gregory G. Mocek and Jonathan H. Flynn from Cadwalader, Wickersham & Taft LLP; Dr. Greg Leonard from Cornerstone Research

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