CFTC fines Goldman for record keeping failures

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By GlobalCapital
27 Nov 2019

The US Commodity Futures Trading Commission has fined Goldman Sachs $1m over failures related to record keeping for swap dealers.

A CFTC order filing and settling charges against Goldman Sachs means the investment bank must pay a $1m civil monetary penalty and cease and desist from further violations of the commission’s regulations.

According to the order, Goldman failed to make and keep certain audio recordings as required ...

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