CFTC Staff Issues an Advisory Related to Prime Brokerage Arrangements and Derivatives Clearing Organization Registration Requirements Registration / supervisory violation

CFTC release 8705-23 · 2023-05-17 · view on cftc.gov ↗

Key facts

Release number: 8705-23
Release date: 2023-05-17
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/8705-23

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.