Category: Core Principle Violations

Core Principle Violations occur when fundamental ethical standards or values are breached, undermining the integrity of systems or practices. These principles often encompass honesty, respect, fairness, and responsibility, and their violation can lead to significant negative consequences such as loss of trust, legal repercussions, or systemic failures. For instance, in a business context, a core principle violation might involve fraudulent activities or deceptive practices, which compromise the organization’s credibility and stakeholder trust. Addressing and preventing such violations is crucial for maintaining ethical standards and ensuring the long-term success and legitimacy of any entity.

CFTC-PR-8954-24

CFTC-PR-8954-24 (Aug. 29, 2024) CFTC Orders Nasdaq Futures, Inc. to Pay $22 Million for Core Principle Violations, Failing to Fully Disclose Incentives, Providing False and Misleading Information Washington, D.C. — The Commodity Futures Trading Commission today issued an order filing and settling charges against Nasdaq Futures, Inc., formerly a designated contract market (DCM). The order finds Nasdaq […]