CFTC Fines Goldman Over Swaps Reporting, Futures Controls (2)

Goldman Sachs Group Inc. has been fined by a US regulator over alleged swaps reporting failures and other violations.

The US Commodity Futures Trading Commission on Friday ordered Goldman to pay a $30 million penalty for failing to “diligently” supervise its swap dealer activities and for failures relating to swap date reporting and so-called pre-trade mid-market marks.

The penalty comes on the heels of an earlier $3 million fine Friday by the CFTC, which faulted Goldman’s surveillance of a customer’s large position in an oil futures contract in late December 2017. The CFTC said that one of Goldman’s automated internal ...