CFTC Staff Issues No-Action Relief to a Swap Dealer from Certain Chief Compliance Officer Reporting Line Requirements under Commission Regulations Other enforcement

CFTC release 7099-15 · 2015-01-07 · view on cftc.gov ↗

Key facts

Release number: 7099-15
Release date: 2015-01-07
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7099-15

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.