Archive: September 2022

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United States: CFTC Reaches Settlement with Oil and Natural Gas Advisor for Failure to Register as a SEF

United States: CFTC Reaches Settlement with Oil and Natural Gas Advisor for Failure to Register as a SEF

By: Cheryl L. Isaac and Spencer D. Warkentin

On September 26, 2022, amidst a flurry of other enforcement actions, the Commodity Futures Trading Commission (“CFTC”) announced the settlement of its administrative action against Asset Risk Management, LLC (“ARM”) in the amount of $200,000. The CFTC found that ARM operated an unregistered swap execution facility (“SEF”) for a period of 5 years, from September 2017 to the present.

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