DSIO supports and encourages registrants and intermediaries to self-report compliance issues.
As industry participants may be aware, the Division of Enforcement has published several advisories regarding self-reporting, cooperation, and remediation. For convenience, below are links to the Enforcement Advisories.
Enforcement Advisory: Updated Advisory on Self Reporting and Full Cooperation
Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals
Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies
See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)