CFTC Commissioner Pham on Policing the Largest Markets in the World

inSecurities

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1+ y ago 58:30

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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

139 episodi

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