CFTC fines Goldman for record keeping failures
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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