Day

October 2, 2017

02 October 2017

Energy Enforcement Update

This week’s enforcement update covers:

  • Judge grants Smith motion for judgment on pleadings and dismisses Smith in Barclays case;
  • DOE urges FERC to take action to address electric grid resiliency;
  • CFTC Director of Enforcement emphasizes self-reporting and cooperation in speech;
  • CFTC Division of Enforcement issues Updated Advisory on Self Reporting and Cooperation;
  • CFTC orders Logista Advisors LLC to pay $250,000 for supervision failures related to spoofing;
  • CFTC orders Morgan Stanley & Co. LLC to pay $500,000 for supervision failures;
  • CFTC issues no-action relief regarding CPO and CTA registration;
  • CFTC orders Citibank, N.A. and Citigroup Global Markets Limited to pay a $550,000 penalty for swap data reporting violations;
  • CFTC orders Merrill Lynch to pay $2.5 million to settle charges of supervision failures and recordkeeping violations;
  • Silkman and CES file partial objection to magistrate’s discovery rulings in district court; and
  • FERC Staff presents on enforcement activities during the no-quorum period.

(more…)

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