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

> CFTC release 7982-19 · 2019-07-22 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 7982-19
- **Release date:** 2019-07-22
- **Type:** Other enforcement
- **Title:** CFTC Staff, in Conjunction with the Financial Crimes Enforcement Network, Clarifies the Customer Identification Program and Beneficial Ownership Obligations of Certain Introducing Brokers
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/7982-19

## What this is

CFTC enforcement actions cover derivatives + commodities + crypto fraud cases. The Commission charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension.


## Citation

> US Commodity Futures Trading Commission, press release 7982-19, "CFTC Staff, in Conjunction with the Financial Crimes Enforcement Network, Clarifies the Customer Identification Program and Beneficial Ownership Obligations of Certain Introducing Brokers", 2019-07-22. Retrieved via AI Analytics 2026-07-16 from https://api.ai-analytics.org/cftc-action/7982-19.

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