CFTC Orders Swap Dealer to Pay $1.5 Million Penalty for Position Limit Violations, and Supervision and Position Limit Monitoring Failures Other enforcement

CFTC release 8982-24 · 2024-09-25 · view on cftc.gov ↗

Key facts

Release number: 8982-24
Release date: 2024-09-25
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/8982-24

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.