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Goldman Sachs Settles Swap Violations Case for $15M

April 14, 2023 by Eugene Grygo

Goldman Sachs Settles Swap Violations Case for $15M

Goldman Sachs & Co. is settling a case of alleged swap-trading violations with the Commodity Futures Trading Commission (CFTC) for $15 million. The regulator alleges that the firm in 2015 and 2016 “failed to provide the clients with the transparency that the regulations require.” In particular, the CFTC “found that Goldman failed to disclose dozens… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Clearing, Data Management, Operational Risk, Ops Automation, Governance, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: CFTC, ethics, Goldman Sachs, governance, regulatory reporting, Standards, swaps, wall street

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