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The trading of commodities is a great way for an investor or professional trading company to earn a good return on investment while also hedging against the risks of other types of Investments. Similar to one investing in other types of securities, those that are involved in the investment of commodities are subject to a wide range of rules and regulations. The organization that is responsible for the enforcement and regulation of these rules is the United States Commodity Future Trading Commission, which is commonly referred to as the CFTC.
Crimes Covered by CFTC
Over the past few years, the rules and regulations that the CFTC have created and are responsible for regulating have continued to increase. Today, the CFTC is responsible for a wide range of rules and those that are in violation of these rules could face severe punishment.
Some of the most common laws that the CFTC enforces are in regards to insider trading. Similar to when you are trading stocks for individual companies, there are many different rules in place that prevent you from trying to profit off of inside information. If you happen to have information that is beneficial to a trade and is not readily available in the common marketplace, you could be in violation of insider trading. The CFTC is responsible for investigating these situations.
The CFTC is also responsible for regulating and managing fraud in the commodities industry. If an organization or investment fund is thought to be defrauding investors, the CFT will complete a full investigation of the situation.
If you are under investigation from the CFTC, there are a number of different ways that you could be penalized. For those that are under investigation and deemed to be in violation of a law, the most common penalty is a financial penalty. Those that are considered to have made a profit off of insider information will likely be penalized at least the amount of the profit plus a variety of other punitive penalties. It is also possible for someone to lose their right to trade commodities and securities in the future.
If you are being investigated for fraud by the CFTC you could be in far more trouble and be facing far more severe penalties. Depending on the scope of the fraud and your involvement, you could be facing a long prison sentence if the CFTC decides to bring your case to the criminal court system.
Due to the severity of the cases that the CFTC can handle, it is always a good idea to hire an attorney if you are under investigation by the CFTC. Ideally, you should find an attorney that specializes in criminal defense when it comes to financial crimes. These attorneys will have experience in negotiating with the CFTC and could help you to negotiate a plea bargain or receive a reduced sentence if you are found guilty. The attorney will be able to handle all aspects of the case including defense preparation and negotiations.