CFTC Staff Issues No Action Relief for Family Offices from Commodity Trading Advisor Registration Registration / supervisory violation

CFTC release 7068-14 · 2014-11-26 · view on cftc.gov ↗

Key facts

Release number: 7068-14
Release date: 2014-11-26
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7068-14

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.