CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a $200,000 Civil Monetary Penalty for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602 Other enforcement

CFTC release 7216-15 · 2015-08-20 · view on cftc.gov ↗

Key facts

Release number: 7216-15
Release date: 2015-08-20
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7216-15

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.