CFTC Orders Tradition SEF LLC to Pay $875,000 for System Safeguards Violations and Failing to Provide Records Promptly During CFTC Examination
October 01, 2024
October 01, 2024
WASHINGTON, Oct. 1 -- The Commodity Futures Trading Commission issued the following enforcement news release:
The Commodity Futures Trading Commission today announced an order filing and settling charges against (TSEF), a registered swap execution facility (SEF) based in New York. The order finds TSEF failed to establish and maintain adequate system safeguards and failed to promptly provide records to the Division of Market Oversight (DMO) during a routine systems safeguards examin . . .
The Commodity Futures Trading Commission today announced an order filing and settling charges against (TSEF), a registered swap execution facility (SEF) based in New York. The order finds TSEF failed to establish and maintain adequate system safeguards and failed to promptly provide records to the Division of Market Oversight (DMO) during a routine systems safeguards examin . . .