CFTC Staff Issues Advisory Clarifying Chief Compliance Officer Reporting Line Requirements Other enforcement

Key facts

Release number

7410-16

Release date

2016-07-26

Type

Other enforcement

Primary source

https://www.cftc.gov/PressRoom/PressReleases/7410-16

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.