# DSIO Issues Advisory Providing Guidance and Staff Recommendations for Chief Compliance Officer Annual Report Preparation

> CFTC release 8090-19 · 2019-12-04 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 8090-19
- **Release date:** 2019-12-04
- **Type:** Other enforcement
- **Title:** DSIO Issues Advisory Providing Guidance and Staff Recommendations for Chief Compliance Officer Annual Report Preparation
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/8090-19

## 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 8090-19, "DSIO Issues Advisory Providing Guidance and Staff Recommendations for Chief Compliance Officer Annual Report Preparation", 2019-12-04. Retrieved via AI Analytics 2026-07-01 from https://api.ai-analytics.org/cftc-action/8090-19.

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