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New CFTC Rules Formalize Whistleblower Regulations

Hedge fund employees gain new protections

BRIAN T. DALY AND HOLLY H. WEISS, SCHULTE ROTH & ZABEL

On May 22, 2017, the US Commodity Futures Trading Commission amended and supplemented several CFTC regulations to strengthen anti-retaliation protections for whistleblowers under the Commodity Exchange Act. These amendments, in general, make the CFTC’s whistleblower protections consistent with those afforded by Securities and Exchange Commission rules and reinforce the need for private fund managers that are registered as commodity pool operators or commodity trading advisors to take affirmative steps to avoid violating federal regulations regarding whistleblowing.

Section 748 of the 2010 Dodd-Frank Act amended the Commodity Exchange Act by adding a new Section 23, titled “Commodity Whistleblower Incentives and Protection,”1 which directed the CFTC to establish an incentive program that would reward whistleblowers who voluntarily provide the CFTC with information leading to successful enforcement actions for violations of the CEA. The CFTC subsequently adopted whistleblower protection provisions, in Part 165 of the CFTC Rules, as part of a broader rulemaking effort to implement the bounty program envisioned in Section 23 of the CEA.

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About The Hedge Fund Journal

Informing the Hedge Fund Community. With access to some of the industry’s biggest names and an astute and talented group of writers and contributors, The Hedge Fund Journal has established itself as a trusted source of information on the hedge fund industry.