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Goldman to pay $5.5mln to settle US CFTC charges over recording-keeping
© Reuters. FILE PHOTO: The logo for Goldman Sachs is seen on the trading floor at the New York Stock Exchange (NYSE) in New York City, New York, U.S., November 17, 2021. REUTERS/Andrew Kelly//File Photo
(Reuters) – Goldman Sachs will pay a $5.5 million civil penalty to settle alleged recording-keeping violations and for violating a prior order, the U.S. Commodity Futures Trading Commission (CFTC) said on Tuesday.
The CFTC’s order finds Goldman violated a cease-and-desist provision of a prior order and committed record-keeping violations in connection with failing to properly record and retain certain audio files, the regulator said in a statement.
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