Page 34 - 期货和衍生品行业监管动态（2025年2月刊）

期货和衍生品行业监管动态

remediation as a part of its evaluation of cooperation and consider whether a

party engaged in substantial efforts to prevent a future violation. Other

CFTC Divisions will be involved in the assessment of remediation. In some

cases, a compliance monitor or consultant may be recommended to ensure

the completion of undertakings. The advisory also provides examples of

uncooperative conduct.

 Mitigation Credit Matrix: The advisory includes a Mitigation Credit

Matrix describing the presumptive mitigation credit—as a percentage of the

Division’s initial calculation of the civil monetary penalty—that a party may

be eligible for if that party has self-reported and/or cooperated. The

presumptive Mitigation Credit ranges from 0% for no self-report and no

cooperation to 55% for an exemplary self-report and exemplary cooperation.

The Division retains the discretion to deviate from the Mitigation Credit

Matrix given the unique facts and circumstances of a particular case.

https://www.cftc.gov/PressRoom/PressReleases/9054-25

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