Actions against Respondents, registered swap dealers, for alleged failures to report data in connection with swap trades.  According to the CFTC, Respondents’ reporting failures varied, but include, for example, failure to report life-cycle events, primary economic terms, and collateralization indicators.  Respondents have agreed to pay respective civil penalties of $650,000, $2,500,000, $1,000,000, $850,000, $750,000, and $300,000.


CFTC Order (Société Générale)

CFTC Order (Northern Trust)   

CFTC Order (NatWest)

CFTC Order (New York Mellon)

CFTC Order (PNC Bank)

CFTC Press Release