Page 35 - 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)
and neither firm generally would have been able to provide them promptly to the
CFTC if and when requested.
Each order further finds the firm-wide use of unapproved communication
methods violated each firm’s internal policies and procedures, which generally
prohibited business-related communication via unapproved methods. Further, some of
the supervisory personnel responsible for ensuring compliance with the firm’s policies
and procedures also used unapproved communication methods to engage in
business-related communications, in violation of firm policy.
Since December 2021, the CFTC has imposed $1.124 billion in civil monetary
penalties on 22 financial institutions for their use of unapproved communication
methods, in violation of CFTC recordkeeping and supervision requirements. [See
CFTC Press Release Nos. 8470-21; 8599-22; 8699-23; 8701-23; 8762-23; 8763-23;
8794-23]
https://www.cftc.gov/PressRoom/PressReleases/8880-24
22
