Page 34 - 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)
一些負責確保公司制度和程序合規的管理人員也使用未經(jīng)批準的通訊方式進(jìn)行
與業(yè)務(wù)相關(guān)的溝通，也違反了公司政策。
自 2021 年 12 月以來(lái)， CFTC 對 22 家金融機構處以 11.24 億美元的民事罰款，
原因是它們使用未經(jīng)批準的通信方式，違反了 CFTC 的記錄保存和管理要求。【見(jiàn)
CFTC 新聞稿 8470-21；8599-22；8699-23；8701-23；8762-23；8763-23；8794-23】
CFTC Orders U.S. Bank to Pay $6 Million and Oppenheimer to Pay $1 Million
for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved
Communication Methods (2024/3/19)
The Commodity Futures Trading Commission today issued two orders
simultaneously filing and settling charges against U.S. Bank, N.A., a swap dealer, and
against Oppenheimer & Co., Inc., an introducing broker, for failing to maintain and
preserve records that were required to be kept under CFTC recordkeeping
requirements and failing to diligently supervise matters related to their businesses as
CFTC registrants.
The settling registrants admit the facts detailed in the orders, are ordered to cease
and desist from further violations of recordkeeping and supervision requirements, and
are ordered to comply with specified remedial undertakings.
The orders require U.S. Bank to pay a $6 million civil monetary penalty and
Oppenheimer to pay a $1 million civil monetary penalty.
Background
The orders find from at least 2019 to the present, both U.S. Bank and
Oppenheimer failed to stop employees, including those at senior levels, from
communicating using unapproved communication methods, including messages sent
via personal text. The firms were required to keep certain of these written
communications because they related to the firm’s CFTC-registered businesses. These
written communications generally were not maintained and preserved by either firm,
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