CFTC Staff, in Conjunction with the Financial Crimes Enforcement Network, Clarifies the Customer Identification Program and Beneficial Ownership Obligations of Certain Introducing Brokers Other enforcement

CFTC release 7982-19 · 2019-07-22 · view on cftc.gov ↗

Key facts

Release number: 7982-19
Release date: 2019-07-22
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7982-19

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.