# CFTC Orders The Options Clearing Corporation to Pay a $5 Million Penalty for Violations of Core Principles and Regulations Related to Operational Risk Management

> CFTC release 8661-23 · 2023-02-16 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 8661-23
- **Release date:** 2023-02-16
- **Type:** Other enforcement
- **Title:** CFTC Orders The Options Clearing Corporation to Pay a $5 Million Penalty for Violations of Core Principles and Regulations Related to Operational Risk Management
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/8661-23

## 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 8661-23, "CFTC Orders The Options Clearing Corporation to Pay a $5 Million Penalty for Violations of Core Principles and Regulations Related to Operational Risk Management", 2023-02-16. Retrieved via AI Analytics 2026-07-02 from https://api.ai-analytics.org/cftc-action/8661-23.

---

*[CFTC actions dataset](/datasets/cftc-actions) · CC0 1.0*