CFTC-PR-8943-24 (Aug. 14, 2024)
CFTC Orders TD Bank and Cowen to Pay Civil Monetary Penalties for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods
Washington, D.C. — The Commodity Futures Trading Commission today issued two orders simultaneously filing and settling charges against The Toronto Dominion Bank (TD Bank), a swap dealer, and against Cowen and Company (Cowen), previously registered with the CFTC as an introducing broker, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements and failing to diligently supervise matters related to their businesses as CFTC registrants.
Date: Aug. 14, 2024
Date Accessed: Aug. 19, 2024
Source URL: https://www.cftc.gov/PressRoom/PressReleases/8943-24
Categories:
- CFTC
- CFTC-24
- CFTC-2408
- Supervision
- Recordkeeping Failures
- Unapproved Communications
- Toronto Dominion Bank
- Cowen and Company
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