Kathryn Garland

Kathryn Garland

Cadwalader, Wickersham & Taft LLP

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Eleven Financial Institutions Pay $700 Million to Settle Recordkeeping and Supervision Violations Related to Off-Channel Business...

On September 27, the Commodity Futures Trading Commission (“CFTC”) issued orders to settle charges against 11 major U.S. and international financial institutions and their swap dealer (“SD”) and futures commission merchant...more

10/6/2022  /  CFTC , Civil Monetary Penalty , Electronic Communications , Enforcement Actions , Financial Institutions , Futures Commission Merchants (FCMs) , Recordkeeping Requirements , Regulatory Violations , Securities and Exchange Commission (SEC) , Swap Dealers
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