CFTC Orders Mizuho Capital Markets LLC to Pay $1.5 Million for Swap Portfolio Reconciliation, Other Compliance and Supervision Failures Other enforcement

CFTC release 8429-21 · 2021-09-27 · view on cftc.gov ↗

Key facts

Release number: 8429-21
Release date: 2021-09-27
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/8429-21

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.