CFTC Staff Announces it is Issuing No-Action Relief from Introducing Broker and Commodity Trading Advisor Registration to Persons Located Outside the United States Engaged in Activities on behalf of Customers that are International Financial Institutions Registration / supervisory violation

CFTC release 7184-15 · 2015-06-06 · view on cftc.gov ↗

Key facts

Release number: 7184-15
Release date: 2015-06-06
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7184-15

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.