CFTC policy statement relating to the Commission's authority to impose civil money penalties and futures self-regulatory organizations' authority to impose sanctions
The Commission - Business & Economics - 8 pages
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ability to continue activity additional factors Agency appeal appropriate sanction assessment Authority to Impose case-by-case basis CFTC civil money penalties Comm Commission enforcement action Commission has determined Commission reviews Commission's commodity futures market concerning consider a respondent's consideration context continue in business cooperate Court criteria customer duration effect exclusive list exercise factors considered federal following factors framework fraud Futures Self-regulatory Organizations Futures Trading Gravity guidelines harm identified Impose Sanctions imposition including intended involves list of factors member member's business number of transactions offense particular penalties imposed pending Policy Statement previously proceeding profitable prohibited published guidance regard registration regulations regulatory relevant remedial required respondent whose business respondent's ability respondent's financial condition restitution rule enforcement reviews rule violations sanctioning authority sanctions available sanctions imposed Sept specific SRO disciplinary actions SRO's disciplinary standards of fairness study Trading Commission Trading Practices Transfer Binder violative conduct violator acted voluntarily wrongdoing