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Statement Of CFTC Commissioner Kristin N. Johnson: Closing A Gap, Preserving Market Integrity And Protecting Clearing Member Funds Held By Derivatives Clearing Organizations

Statement Of CFTC Commissioner Kristin N. Johnson: Closing A Gap, Preserving Market Integrity And Protecting Clearing Member Funds Held By Derivatives Clearing Organizations
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CFTC Orders The Options Clearing Corporation To Pay A $5 Million Penalty For Violations Of Core Principles And Regulations Related To Operational Risk Management

<p><span>The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against The Options Clearing Corporation (OCC), a Chicago-based CFTC-registered derivatives clearing organization (DCO).</span><a id=" Hlk127440561" name=" Hlk127440561"> </a><span>The order finds the respondent failed to establish, implement, maintain and enforce certain policies and procedures reasonably designed to manage the operational risks related to its automated systems in violation of the Commodity Exchange Act (CEA) and related CFTC regulations.  </span></p> ....

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