Page 36 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)（2024年4月）
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期貨和衍生品行業(yè)監管動(dòng)態(tài)
Specifically, during the two Gap Periods, the tool was run on a daily basis before
certain data was ingested into the tool, and thus the tool failed to surveil any of the
futures data from the vendor at issue. Moreover, even after discovering the First Gap
Period and resetting the time so the tool would be run after the relevant data was
received, ANZ did not put into place additional safeguards to prevent the timing issue
from recurring. In fact, the issue did recur. The Second Gap Period was caused by the
exact same problem as the First Gap Period, and lasted for approximately four
additional months before ANZ discovered it.
As a result, thousands of orders were not timely surveilled for spoofing and ANZ
should have, but did not receive a substantial number of surveillance alerts that would
have been generated during the two Gap Periods.
In accepting ANZ’s offer, the CFTC recognized ANZ’s substantial cooperation
with the Division of Enforcement’s investigation of this matter. The CFTC also
acknowledged ANZ’s representations concerning its remediation in connection with
this matter. Specifically, during the investigation, ANZ disclosed both Gap Periods to
the CFTC. ANZ also represented that it corrected the timing mismatch as soon as it
became aware of it, and following the Second Gap Period, installed additional
safeguards to prevent a recurrence. The CFTC’s recognition of ANZ’s substantial
cooperation and remediation is further reflected in the form of a reduced penalty.
https://www.cftc.gov/PressRoom/PressReleases/8886-24
9. 美國期貨業(yè)協(xié)會(huì )禁止新澤西州普林斯頓的商品基金管理人 50.ai Investments
LLC 重新申請成為其會(huì )員（2024 年 4 月 11 日）
美國期貨業(yè)協(xié)會(huì )（NFA）永久禁止位于新澤西州普林斯頓的前 NFA 會(huì )員 50.ai
Investments LLC（50.ai Investments），一家商品基金管理人和外匯公司，重新申
請成為其會(huì )員或擔任 NFA 會(huì )員的負責人。
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