DSIO Issues No-Action Relief Regarding Futures Commission Merchant’s Deposit of Customer-Owned Securities as Margin with UK Broker Other enforcement

CFTC release 7833-18 · 2018-10-31 · view on cftc.gov ↗

Key facts

Release number
7833-18
Release date
2018-10-31
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/7833-18

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.