Mizuho Capital Markets LLC

Regulator action

Named in 1 sanctions listing.

Sanctions and listings1

Official designation
U.S. Commodity Futures Trading CommissionUS CFTC Enforcement ActionsUnited StatesSettled
Reference 8429-21cftc.gov

Supporting documents1

CFTC Orders Mizuho Capital Markets LLC to Pay $1.5 Million for Swap Portfolio Reconciliation, Other Compliance and Supervision Failures
2021-09-27
https://www.cftc.gov/PressRoom/PressReleases/8429-21

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