CFTC Staff Issues Time-Limited No-Action Letter from Certain Entity-Level Internal Business Conduct Requirements for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, and Switzerla Other enforcement

CFTC release 6806-13 · 2013-12-21 · view on cftc.gov ↗

Key facts

Release number: 6806-13
Release date: 2013-12-21
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6806-13

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.