Category Archives: DOJ

Compliance Departments Must Continue to Evolve as Regulators Refine Their Approach to Spoofing

By Anthony Mansfield, Gregory Mocek, Paul Pantano and Jonathan Flynn The government’s pursuit of alleged “spoofing” continues to garner headlines with the criminal authorities recently securing a conviction in the prosecution of Michael Coscia for alleged spoofing on the Chicago Mercantile Exchange as well … Continue reading

Posted in CFTC, Commodity Trading, DOJ, Enforcement and Investigations, Regulation

New DOJ Policy Regarding Individual Accountability for Corporate Wrongdoing

On September 9, 2015, the U.S. Department of Justice announced a new policy regarding individual accountability for corporate misconduct.  The policy, described in a memo authored by Deputy Attorney General Sally Yates, posits that “one of the most effective ways … Continue reading

Posted in Commodity Trading, DOJ, Energy Infrastructure, Enforcement and Investigations, Finance, Mining/Metals, Oil & Gas, Power, Regulation, Renewables, Tax

SAVE THE DATE: 2014 Energy & Commodities Regulation, Compliance and Enforcement Conference

Cadwalader, Wickersham & Taft LLP will be hosting its annual Energy & Commodities Conference in Houston, Texas. The program will feature informative presentations and panel discussions on the evolving regulatory and enforcement issues affecting the U.S. and international energy and … Continue reading

Posted in CFTC, Commodity Trading, CSAPR, Dodd-Frank, DOJ, EMIR, Emissions, Enforcement and Investigations, EPA, ERCOT, Events, FERC, FTC, MiFID, MiFIR, Mining/Metals, Oil & Gas, Power, PUCT, Regulation, Renewables, SEC

Antitrust Division Enters Into First Deferred Prosecution Agreement

In a first for the Department of Justice (“DOJ”) Antitrust Division, the Division entered into a Deferred Prosecution Agreement (“DPA”) with a financial institution for its involvement in an alleged LIBOR-rate manipulation scheme. As part of the agreement, the company’s … Continue reading

Posted in Antitrust/Competition, Cases, DOJ, Regulation