Page 37 - 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)
該決定由 NFA 的商業(yè)行為委員會(huì )（BCC）根據其控訴狀及 50.ai Investments
的和解申請作出。BCC 指控 50.ai Investments 經(jīng)營(yíng)的一個(gè)商品基金使用誤導性宣
傳材料和信息，并且未能遵循高標準的商業(yè)道德和公平交易原則。控訴還稱(chēng)，50.ai
Investments 未能對公司的運營(yíng)及其員工進(jìn)行有效監督。
NFA Orders Princeton, N.J. Commodity Pool Operator 50.ai Investments LLC
Not to Reapply for NFA Membership (2024/4/11)
NFA has ordered 50.ai Investments LLC (50.ai Investments), a former NFA
Member commodity pool operator and forex firm located in Princeton, N.J., not to
reapply for membership or act as a principal of an NFA Member at any time in the
future.
The Decision, issued by NFA's Business Conduct Committee (BCC), is based on
a Complaint issued by the BCC and a settlement offer submitted by 50.ai Investments.
In its Complaint, the BCC alleged that 50.ai Investments used misleading promotional
material and communications and failed to uphold high standards of commercial
honor and just and equitable principles of trade in connection with a commodity pool
that the firm operated. The Complaint also alleged that 50.ai Investments failed to
supervise the firm's operations and its employee.
https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5638
10. 美國聯(lián)邦法院制裁內華達州金屬交易商在黃金和白銀市場(chǎng)的幌騙交易行為
（2024 年 4 月 11 日）
美國商品期貨交易委員會(huì )（CFTC）宣布，內華達州拉斯維加斯地區的聯(lián)邦
法院于 4 月 9 日簽發(fā)同意令，了結了 CFTC 針對 Daniel Shak 涉嫌在黃金和白銀
期貨市場(chǎng)從事違反《美國商品交易法》（CEA）和 CFTC 聯(lián)邦法規的幌騙交易行
為和具有操縱性和欺詐性計劃的指控。
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