CFTC Orders Goldman Sachs to Pay $1 Million for Recordkeeping Violations Other enforcement

CFTC release 8086-19 · 2019-11-26 · view on cftc.gov ↗

Key facts

Release number
8086-19
Release date
2019-11-26
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/8086-19

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.