CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers Other enforcement

CFTC release 6463-12 · 2012-12-15 · view on cftc.gov ↗

Key facts

Release number: 6463-12
Release date: 2012-12-15
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6463-12

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.