CFTC Orders 3 Financial Institutions to Pay Over $50 Million for Swap Reporting Failures, Other Violations
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 orders simultaneously filing and settling charges with affiliates of three financial institutions for a variety of swap dealer activities including failures related to swap data reporting and, in one case, failures related to the disclosure of Pre-Trade Mid-Market Marks (PTMMMs).
The settl . . .
The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges with affiliates of three financial institutions for a variety of swap dealer activities including failures related to swap data reporting and, in one case, failures related to the disclosure of Pre-Trade Mid-Market Marks (PTMMMs).
The settl . . .