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Citi, BNY, UBS and Others See $8.3M in CFTC Penalties

Summary by bankingdive.com
The settlements come amid a “sprint” to resolve nonfraud allegations – including a throwback to Biden-era off-channel communications issues. The regulator has one remaining commissioner.

2 Articles

bankingdive.combankingdive.com
Center

Citi, BNY, UBS and others see $8.3M in CFTC penalties

The settlements come amid a “sprint” to resolve nonfraud allegations – including a throwback to Biden-era off-channel communications issues. The regulator has one remaining commissioner.

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BloombergBloomberg
Lean Left

Citi, UBS Resolve CFTC Compliance Claims in Enforcement ‘Sprint’

Units of Citigroup Inc. and UBS AG were among several firms that agreed to pay a total of $8.3 million to settle US Commodity Futures Trading Commission claims over compliance-related violations including recordkeeping and reporting lapses, the derivatives regulator said.

·United States
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Bloomberg broke the news in United States on Friday, September 5, 2025.
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