PLI’s in-depth podcast examining changes to securities rules, regulations, and cases from a practitioner’s perspective in both law and accounting.
Episodes
Thursday Oct 19, 2023
Thursday Oct 19, 2023
Commissioner Caroline D. Pham of the Commodity Futures Trading Commission joins Kurt on the inSecurities podcast to talk about the CFTC’s regulatory mandate, the role of CFTC enforcement, and the perils of what she calls “examination by enforcement.” Among other things, Commissioner Pham stresses the deterrent effect of holding wrongdoers accountable, the need for regulatory clarity (particularly when regulators test novel enforcement theories), and the importance of upholding the CFTC’s jurisdiction. Tune in for the second installment of this two-part episode to hear Commissioner Pham’s views on crypto regulation.
For more insights from Commissioner Pham on CFTC enforcement:
- On speaking orders in enforcement actions
- On self-reporting and cooperation
- On management accountability
- On examination by enforcement
- On “insider trading” in derivatives markets
- On administrative enforcement proceedings
- On leadership and ethics