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      Page 44 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)(2024年4月)
      P. 44

      期貨和衍生品行業(yè)監管動(dòng)態(tài)
      
      
      
      
                         execution of the swap transaction on the SEF for both cleared and uncleared swap
      
                         transactions. The final rules also amend CFTC Regulation 37.6(b) to make clear the
      
                         SEF-provided confirmation under CFTC Regulation 37.6(b) shall legally supersede
      
                         any conflicting terms in a previous agreement, rather than the entire agreement.
      
      
                              In addition, the final rules make conforming amendments to CFTC Regulation
      
                         23.501(a)(4)(i) to correspond with the amendments to CFTC Regulation 37.6(b).
      
                         Finally, the final rules make certain non-substantive amendments to CFTC Regulation
      
                         37.6(a)-(b) to enhance clarity.
      
      
                              The final rules are effective 30 days after publication in the Federal Register.
      
                         Upon the effective date of the final rules, CFTC No Action Letter No. 17-17 will
      
                         expire.
      
      
                         https://www.cftc.gov/PressRoom/PressReleases/8896-24
      
      
      
      
      
      
      
                         13. 美國聯(lián)邦法院判令未注冊的商品基金管理人及其總裁為外匯欺詐行為支付
      
      
                         超過(guò) 1100 萬(wàn)美元的賠償金和罰款(2024 年 4 月 26 日)
      
      
      
                              美國商品期貨交易委員會(huì )(CFTC)宣布,密歇根州東區聯(lián)邦地區法院法官
                         Linda V. Parker作出缺席判決,對Darren Robinson及其公司The QYU Holdings Inc.
      
      
                         (QYUHI)發(fā)布永久禁令。Robinson 曾是佛羅里達州邁阿密的居民,QYUHI 是
      
                         一家懷俄明州的公司,據稱(chēng)以德州的達拉斯為主營(yíng)業(yè)地。Robinson 和 QYUHI 被
      
                         禁止在任何 CFTC 所監管的市場(chǎng)進(jìn)行交易,并被要求連帶支付 5,923,515.37 美元
      
                         的賠償金給欺詐受害者,以及與外匯欺詐計劃有關(guān)的 5,923,515.37 美元的民事罰
      
                         款。
      
      
                              在 2017 年 1 月 1 日至 2023 年 9 月 28 日期間(相關(guān)期間),QYUHI 以商品
      
                         基金管理人(CPO)名義展業(yè),卻未按要求在 CFTC 注冊,且未能遵守 CPO 相
      
      
      
      
      
      
      
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