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CFTC Rule 23.201
Business records covered by this rule include governance, financial records and complaints.
Governance records to be retained include:
Two commissioners dissented with the decision, saying the regulator cut corners to create a pretext for enforcement.
Julie DiMauro3 min read
Fifth such award this year by CFTC takes total paid out to $18.75m.
Martina Lindberg2 min read
CFTC alleges company's failure to disclose certain trader incentives to the CFTC, the public, and its own compliance staff, led to the violation.
Julie DiMauro2 min read
The CFTC said the firm failed to properly supervise its swap dealer business with respect to swap data reporting.
Julie DiMauro2 min read
The CFTC alleged energy market price manipulation in this case, leading to a $48m fine and a message to other businesses about broker tactics.
Julie DiMauro2 min read
The joint rule would establish uniform data definitions, but questions remain about cost imposed on firms to update systems and records.
Alexander Barzacanos1 min read
Three of the firms received credit for self-reporting.
Julie DiMauro4 min read
A majority of the whistleblower tips to the Commodity Futures Trading Commission were linked to digital assets last fiscal year.
Martina Lindberg1 min read
Further Reading