# CFTC Issues an Exemption to the Hong Kong Securities and Futures Commission Permitting U.S. Customers to Deal Directly with Hong Kong Brokers

> CFTC release 7138-15 · 2015-03-20 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 7138-15
- **Release date:** 2015-03-20
- **Type:** Other enforcement
- **Title:** CFTC Issues an Exemption to the Hong Kong Securities and Futures Commission Permitting U.S. Customers to Deal Directly with Hong Kong Brokers
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/7138-15

## What this is

CFTC enforcement actions cover derivatives + commodities + crypto fraud cases. The Commission charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension.


## Citation

> US Commodity Futures Trading Commission, press release 7138-15, "CFTC Issues an Exemption to the Hong Kong Securities and Futures Commission Permitting U.S. Customers to Deal Directly with Hong Kong Brokers", 2015-03-20. Retrieved via AI Analytics 2026-06-26 from https://api.ai-analytics.org/cftc-action/7138-15.

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