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Insider Trading under the Commodity Exchange Act

part of the FIA Law & Compliance Division webinar series
15 September 2016 10:00am to 11:00am EDT

The CFTC’s new fraud-based anti-manipulation rule, Rule 180.1, provides it with broad authority to prosecute the misappropriation of material non-public information; often referred to as “insider trading.” This is a new development under the Commodity Exchange Act, which historically only prohibited insider trading in very narrow circumstances. Over the course of the last year, the CFTC’s Enforcement Division, in public forums and in at least one public enforcement proceeding, has been emphasizing its increased focus on prosecuting insider trading in the commodity markets.

As a result of these developments on multiple fronts, the webinar will provide a practical overview of insider trading under the Commodity Exchange Act. In particular, the webinar will: (1) address the contours of the CFTC’s misappropriation authority under the CEA and Rule 180.1; (2) analyze how CFTC and other regulators may interpret and apply this authority; and (3) review the practical implications for market participants of this newly applied theory of liability.

 

Presenters:

Neal Kumar, Tony Mansfield and Paul Pantano of Cadwalader, Wickersham & Taft LLP

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