Page 17 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)（2024年3月）
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期貨和衍生品行業(yè)監管動(dòng)態(tài)
“The federal laws and SEC rules covering ownership disclosure help keep
investors fully informed about control – and potential changes in control – of publicly
traded companies,” said Mark Cave, Associate Director of the SEC’s Division of
Enforcement. “But, according to today’s order, HG Vora deprived Ryder shareholders
of information about its significant stake in the company, while building a large swaps
position from which it stood to profit after announcing the Ryder takeover bid.”
The SEC’s order finds that HG Vora violated the beneficial ownership provisions
of the Securities Exchange Act of 1934. Without admitting or denying the findings,
HG Vora agreed to cease and desist from future violations and to pay the civil penalty
discussed above. On Oct. 10, 2023, the SEC adopted rules shortening the deadline for
filing an initial Schedule 13D from 10 to five business days. HG Vora was found to
have violated the rules in effect at the time of the conduct at issue in the SEC’s order
by filing this report more than 10 days after forming a control purpose.
https://www.sec.gov/news/press-release/2024-30
3. 美國商品期貨交易委員會(huì )全球市場(chǎng)咨詢(xún)委員會(huì )提出 3 項建議（2024 年 3 月 7
日）
Pham 委員提出了有關(guān)支持美國國債市場(chǎng)韌性、 T+1 證券結算過(guò)渡和數字資
產(chǎn)監管清晰度的建議
美國商品期貨交易委員會(huì )全球市場(chǎng)咨詢(xún)委員會(huì )（Global Markets Advisory
Committee, GMAC）在委員 Caroline D. Pham 的支持下，提出了三項新建議，以
促進(jìn)美國國債市場(chǎng)的韌性和效率，為即將到來(lái)的 T+1 證券結算過(guò)渡提供支持，
并首次發(fā)布數字資產(chǎn)分類(lèi)方法，以支持美國監管的清晰度和國際統一性。
Pham 委員表示：“一年前，重新啟動(dòng)的全球市場(chǎng)咨詢(xún)委員會(huì )開(kāi)始制定務(wù)實(shí)的
解決方案，以解決我們市場(chǎng)中最重要的問(wèn)題，我為全球市場(chǎng)咨詢(xún)委員會(huì )繼續為提
4
