17 C.F.R. § 23.602(a) – Global Relay Intelligence & Practice

17 C.F.R. § 23.602(a)

Enforcement

CFTC fines swap dealer $500,000 for supervision failures

April 4, 2024

The company failed to ensure that thousands of orders were not timely surveilled for spoofing.

Martina Lindberg1 min read