CFTC Staff Issues No-Action Relief for Swap Dealers from Compliance with Certain Commission Regulations Applicable to Swaps with Legacy Special Purpose Vehicles Other enforcement

CFTC release 7148-15 · 2015-04-01 · view on cftc.gov ↗

Key facts

Release number: 7148-15
Release date: 2015-04-01
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7148-15

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.