File ID: CFTC-PR-8880-24
Date: March 19, 2024
Accessed: June 15, 2024
Headline: 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.
Source: https://www.cftc.gov/PressRoom/PressReleases/8880-24
Categories:
- INTRODUCING BROKERS
- RECORDKEEPING FAILURES
- SUPERVISION FAILURES
- SWAP DEALERS
- UNAPPROVED COMMUNICATION METHODS
CFTC-PR-8880-24 – Viewer: ▼▼▼ (Download PDF File ⊗)
CFTC-PR-8880-24