CFTC-PR-8880-24
CFTC Orders U.S. Bank to Pay $6 Million and Oppenheimer to Pay $1 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods
![CFTC News Release - CFTC-PR-8880-24](https://jcap101.com/wp-content/uploads/2024/08/105-CFTC.png)
Date: Mar. 19, 2024
Date Accessed: Aug. 1, 2024
Source URL: https://www.cftc.gov/PressRoom/PressReleases/8880-24
Categories:
- CFTC-2403
- Introducing Brokers
- Recordkeeping Failures
- Supervision Failures
- Swap Dealers
- Unapproved Communications
- OPPENHEIMER & CO. INC.
- U.S. BANK N.A.
PDF Notes:
- The PDF viewer below disables the links inside the PDF file.
- The PDF file may be downloaded if you wish.
- All links within the PDF Download are fully functional.