September 29, 2023
Posted September 29, 2023
Goldman Sachs & Co. LLC has been ordered to pay $3 million to settle charges of failing to maintain adequate supervisory systems and controls, in connection with a 2017 malfunction. Additionally, Goldman allegedly omitted material information regarding the malfunction when responding to a CFTC request for information on how customer orders were executed. CFTC
Tagged in: Financial and Investment Fraud, Fraud in CFTC-Regulated Markets,