2018 Priorities and Policies of U.S. Derivatives and Commodities Enforcement Authorities: From The Exchange To The Regulator To The Criminal Prosecutor


Hear from leading private practitioners at AIMA's third annual panel discussion of U.S. derivatives and commodities investigative and enforcement matters as they address 2018 investigation and enforcement priorities and policies and related legal issues as well as recent case developments.

Likely topics include:

  • Investigative priorities and processes—from the exchange level through regulatory proceedings and criminal prosecution
  • Extraterritorial reach of U.S. exchange rules, government regulations and criminal law
  • Recent insider trading, market manipulation and spoofing cases and legal issues raised
  • Self-reporting and cooperation parameters at each of the CME, CFTC and DOJ levels
  • Factors and considerations in CME, CFTC and DOJ charging and penalty decisions
  • Policies and practices concerning the liability of supervisors, controlling persons and organizations for the misconduct of employees


  • Robert Houck, Partner, Clifford Chance US Litigation and Dispute Resolution Group


  • Jason Cowley, Co-Chief of the Securities and Commodities Fraud Unit, United States Attorney's Office for the Southern District of New York
  • Thomas LaSala, Managing Director & Global Chief Regulatory Officer, CME Group
  • Gretchen Lowe, Chief Counsel, Division of Enforcement, Commodity Futures Trading Commission
  • Celeste Koeleveld, Partner, Clifford Chance US and former Chief of the Criminal Division, United States Attorney's Office for the Southern District of New York
  • David Yeres, Senior Counsel, Leader Clifford Chance US Commodities and Derivatives Investigations and Enforcement Group

Sponsored by: