CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the Swaps Calculation by Certain Foreign Entities for Purposes of the Swap Dealer and Major Swap Participant Definitions Other enforcement

CFTC release 6390-12 · 2012-10-13 · view on cftc.gov ↗

Key facts

Release number: 6390-12
Release date: 2012-10-13
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6390-12

About CFTC enforcement

The CFTC charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and commodity-pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension. Crypto-asset cases have been a major share since 2019.