The CFTC Division of Clearing and Risk staff reminded derivatives clearing organizations of the heightened compliance risks to those offering digital asset-related products.

The CFTC Division of Clearing and Risk encouraged persons using certain swap execution facilities-related "prime brokerage arrangements" for swaps to consider whether the arrangements require derivatives clearing organization registration.

A broker-dealer firm settled CFTC charges for engaging in market manipulation of issuer swaps.

A swap dealer and its affiliated broker-dealer/FCM settled CFTC and SEC charges for failing to (i) prohibit the use of unapproved communication methods, (ii) maintain and produce required records and (iii) adequately supervise its businesses.

CFTC Commissioner Christy Goldsmith Romero highlighted risks created through the use of digital assets.