On January 10, FINRA published its “2023 Report on FINRA’s Examination and Risk Management Program” (Report) FINRA’s third annual compendium of guidance, covering key topics and.
FINRA punctuated its annual post-New Year's Report on FINRA's Examination and Risk Monitoring Program (the "Report"), by including a new target category "Financial Crimes."
<p><span>The Commodity Futures Trading Commission today released the agency’s enforcement results for Fiscal Year 2022 that demonstrates its continued commitment to protecting customers and ensuring market integrity. In FY 2022, the CFTC obtained orders imposing over $2.5 billion in restitution, disgorgement and civil monetary penalties either through settlement or litigation. In the agency’s efforts to prevent fraud, manipulation, reporting, supervision and misconduct related to digital assets, the CFTC filed 82 enforcement actions and continued to devote significant resources to litigating complex cases and achieved several litigation successes during the fiscal year.</span></p>