CFTC Orders Goldman Sachs to Pay $3 Million for Supervision Failures, Material Omissions in Letter to CFTC's Division of Enforcement
September 30, 2023
September 30, 2023
WASHINGTON, Sept. 30 -- The Commodity Futures Trading Commission issued the following enforcement news release on Sept. 29, 2023:
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC for failure to maintain adequate supervisory systems and controls to ensure its customers' trading was not disruptive and for material omissions in a letter to the CFTC's Division of Enforcement (DOE).
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC for failure to maintain adequate supervisory systems and controls to ensure its customers' trading was not disruptive and for material omissions in a letter to the CFTC's Division of Enforcement (DOE).