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

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.

Keywords
  • Futures Regulation,
  • Commodities,
  • CFTC
Disciplines
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)
Available at: http://works.bepress.com/barry_temkin/21/