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Posted inRegulatory Enforcement

CFTC dings U.S. Bank, Oppenheimer over off-channel comms violations

by Kyle Brasseur March 19, 2024March 25, 2024

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The Commodity Futures Trading Commission (CFTC) announced settlements with U.S. Bank and Oppenheimer & Co. for admitted recordkeeping and supervision failures regarding employee use of off-channel communications for conducting business.

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