While the initial swap dealer enforcement actions brought by the Commodity Futures Trading Commission (CFTC) focused on swap data reporting failures, recent enforcement efforts have focused on compliance with business conduct...more
5/26/2023
/ CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Compliance ,
Conflicts of Interest ,
Enforcement ,
Final Rules ,
Recordkeeping Requirements ,
Swap Dealers ,
Swaps ,
Transparency