CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Union’s MiFID II Research Compensation Provisions for Investment Managers Registration / supervisory violation

CFTC release 7657-17 · 2017-12-11 · view on cftc.gov ↗

Key facts

Release number: 7657-17
Release date: 2017-12-11
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7657-17

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.