CFTC’s Division of Clearing and Risk Issues No-Action Letter for OTC Clearing Hong Kong Limited Other enforcement

CFTC release 6922-14 · 2014-05-08 · view on cftc.gov ↗

Key facts

Release number
6922-14
Release date
2014-05-08
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/6922-14

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.