# CFTC’s Division of Swap Dealer and Intermediary Oversight Responds to Questions Regarding Recent Amendments to Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors

> CFTC release 6326-12 · 2012-08-15 · **Commodity pool fraud** · ENFORCEMENT

## Key facts

- **Release number:** 6326-12
- **Release date:** 2012-08-15
- **Type:** Commodity pool fraud
- **Title:** CFTC’s Division of Swap Dealer and Intermediary Oversight Responds to Questions Regarding Recent Amendments to Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6326-12

## What this is

CFTC enforcement actions cover derivatives + commodities + crypto fraud cases. The Commission charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension.


## Citation

> US Commodity Futures Trading Commission, press release 6326-12, "CFTC’s Division of Swap Dealer and Intermediary Oversight Responds to Questions Regarding Recent Amendments to Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors", 2012-08-15. Retrieved via AI Analytics 2026-06-27 from https://api.ai-analytics.org/cftc-action/6326-12.

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