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| Share Name | Share Symbol | Market | Type |
|---|---|---|---|
| Goldman Sachs Group Inc | NYSE:GS | NYSE | Common Stock |
| Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|
| 8.61 | 1.93% | 455.56 | 456.43 | 446.20 | 446.34 | 2,710,173 | 01:00:00 |
From May 2023 to May 2024
By Ben Glickman
Goldman Sachs will pay $3 million to settle charges from the U.S. Commodity Futures Trading Commission that it failed to properly ensure its customers' trading was not disruptive.
The CFTC said Friday that it simultaneously filed and settled the charges, which alleged that the bank did not maintain adequate supervisory systems and controls and omitted information in communications with the agency.
It also said the bank violated the Commodity Exchange Act and CFTC regulations.
The order requires Goldman to pay the civil penalty and to cease and desist from further violations.
CFTC's order alleged that Goldman's Volatility Awareness Control, meant to suspend disruptive trading, malfunctioned, and the bank's post-trade monitoring was improper.
Write to Ben Glickman at ben.glickman@wsj.com
(END) Dow Jones Newswires
September 29, 2023 19:47 ET (23:47 GMT)
Copyright (c) 2023 Dow Jones & Company, Inc.
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