CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Providing an Alternative to Fingerprinting to Establish Fitness of Principals Residing Outside the United States Other enforcement

CFTC release 6459-12 · 2012-12-12 · view on cftc.gov ↗

Key facts

Release number: 6459-12
Release date: 2012-12-12
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6459-12

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.