CFTC Orders London-Based Swap Dealer to Pay $3.25 Million for Swap-Data Reporting, Conflicts of Interest, Mid-Market Mark, and Supervision Failures Other enforcement

CFTC release 8501-22 · 2022-03-15 · view on cftc.gov ↗

Key facts

Release number: 8501-22
Release date: 2022-03-15
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/8501-22

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.