CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding Regulation 23.502 for Swap Dealers and Major Swap Participants in Connection with Swaps Subject to Risk Mitigation Techniques under EMIR Other enforcement

CFTC release 6672-13 · 2013-08-24 · view on cftc.gov ↗

Key facts

Release number: 6672-13
Release date: 2013-08-24
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6672-13

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.