DSIO Issues Time-Limited, Conditional No-Action Relief for Excluding Certain Loan-Related Swaps from Counting toward the Swap Dealer Registration De Minimis Threshold Registration / supervisory violation

CFTC release 7775-18 · 2018-08-28 · view on cftc.gov ↗

Key facts

Release number: 7775-18
Release date: 2018-08-28
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7775-18

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.