Division of Swap Dealer and Intermediary Oversight Announces that Swap Dealers and Major Swap Participants May Furnish Chief Compliance Officer Annual Reports to the Commission through WinJammer Other enforcement

CFTC release 7110-15 · 2015-01-24 · view on cftc.gov ↗

Key facts

Release number: 7110-15
Release date: 2015-01-24
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7110-15

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.