CFTC Fines 11 Financial Institutions for Unapproved Communications Methods

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The Commodity Futures Trading Commission (CFTC) issued settlement orders against affiliates of 11 financial institutions for failing to comply with its recordkeeping requirements. These include affiliates of: Bank of America, Barclays, Cantor Fitzgerald, Citi, Credit Suisse, Deutsche Bank, Goldman Sachs, Jefferies, Morgan Stanley, Nomura, and UBS.

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