Journal of Investment Compliance

As a new administration arrived in Washington in January 2017, the US Commodity Futures Trading Commission (CFTC) embarked upon an uncertain year filled with personnel changes and vacancies that led to a notable decrease in enforcement actions during 2017.

The CFTC brought 49 enforcement-related actions in the fiscal year ending September 30, 2017 (FY 2017). By comparison, the CFTC filed 68 enforcement actions in fiscal year 2016. Furthermore, restitution, disgorgement and penalties collected by the CFTC decreased significantly as well, from $1.29bn in 2016 to $413m in FY 2017.

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Authors: Peter Y. Malyshev Jennifer L. Achilles Jessica R. Stumacher