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derivatives markets and protect customers and market participants,” said Chairman Rostin Behnam. 'The Commission’s recordkeeping and supervision requirements ensure the safety and integrity of the U.S.

UBS (UBS AG UBS Financial Services, Inc.

and Nomura International PLC), $50 million

Nomura (Nomura Global Financial Products Inc.

and Morgan Stanley Bank, N.A.), $75 million LLC Morgan Stanley Capital Services LLC Morgan Stanley Capital Group Inc.

Jefferies (Jefferies Financial Services, Inc.

LLC f/k/a Goldman Sachs & Co.), $75 million

Deutsche Bank (Deutsche Bank AG and Deutsche Bank Securities Inc.), $75 million.

Credit Suisse (Credit Suisse International and Credit Suisse Securities (USA) LLC), $75 million.

and Citigroup Global Markets Inc.), $75 million Cantor Fitzgerald (Cantor Fitzgerald & Co.), $6 million.Barclays (Barclays Bank, PLC and Barclays Capital Inc.), $75 million.and Merrill Lynch, Pierce, Fenner & Smith Incorporated (which was registered as an FCM until May 2019 and is currently registered as an introducing broker)), $100 million Bank of America (Bank of America, N.A.

The settling swap dealers and FCMs and their civil monetary penalties are: The settling registrants admit the facts detailed in the orders (with Bank of America and Nomura neither admitting nor denying certain specific findings of the Division of the Enforcement’s (DOE) investigation), are ordered to cease and desist from further violations of recordkeeping and supervision requirements, and are ordered to engage in specified remedial undertakings. The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant (FCM) affiliates of 11 financial institutions for failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants.

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Check Registration & Disciplinary History.

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