Page 42 - 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)
pool participants to send them money, the defendants made fraudulent and material
misrepresentations and omissions including: the defendants had historically made
large profits (between 8–25% per month) for themselves and pool participants from
trading forex; pool participants would realize profits of 8–25% per month on their
funds with minimal risk; the defendants would trade forex with the funds the pool
participants deposited; and upon request, pool participants could withdraw their
money within three to five business days of any such requests. Instead of trading pool
participant funds as promised, the defendants misappropriated the pool participants’
money for Nawabi’s own personal benefit as well as to pay other pool participants in
a manner akin to a Ponzi scheme. To conceal their misappropriation, the defendants
created and issued false account statements that misrepresented trading returns the
pool participants supposedly earned. The defendants failed to return funds to the pool
participants despite repeated requests.
The CFTC cautions that orders requiring repayment of funds to victims may not
always result in the recovery of lost money because the wrongdoers may not have
sufficient funds or assets.
https://www.cftc.gov/PressRoom/PressReleases/8892-24
12. 美國商品期貨交易委員會(huì )批準了互換執行設施關(guān)于互換交易確認要求的最
終規則（2024 年 4 月 23 日）
美國商品期貨交易委員會(huì )（CFTC）批準了互換執行設施（SEF）監管規定
中涉及非中央清算互換交易確認的最終規則，以解決 CFTC 工作人員不采取行動(dòng)
信函中提及的問(wèn)題，包括最新的 CFTC 不行動(dòng)函第 17-17 號，以及相關(guān)的合規和
技術(shù)變更。
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