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Supervision Duties Under the Commodity Exchange Act
New York Law Journal (2010)
  • Barry R. Temkin, New York Law School

This article discusses recent enforcement actions by the Commodity Futures Trading Commission (CFTC) alleging failure to supervise by Futures Commission Merchants and other futures registrants. Assessment of a registrant's supervisory duties is fact spectific. A registrant must implement and enforce written supervisory procedures adequate to comply with its duties under 17 CFR Section 166.3.

  • Futures Regulation,
  • Commodities,
  • CFTC
Publication Date
May 27, 2010
Citation Information
Barry R. Temkin. "Supervision Duties Under the Commodity Exchange Act" New York Law Journal Vol. 243 Iss. 101 (2010)
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