GRI

CFTC Orders Tradition SEF LLC to Pay $875

News Corporate Finance & M&A Sanctions & Fines
Date: 1st Oct, 2024 Source: Commodity Futures Trading Commission (CFTC) Country: USA Original Source

Brief

"On 01/10/2024, the Commodity Futures Trading Commission (CFTC) issued an update regarding CFTC Orders Tradition SEF LLC to Pay $875,000 for System Safeguards Violations and Failing to Provide Records Promptly During a CFTC Examination. The CFTC is charging Tradition SEF LLC with system safeguards violations and failing to provide records promptly during a Division of Market Oversight examination, resulting in an $875,000 civil monetary penalty."

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Commodity Futures Trading Commission (CFTC)

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