Page 7 - 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)
年 3 月 26 日）........................................................................................................................15
CFTC Charges KuCoin with Operating Illegal Digital Asset Derivatives Exchange
(2024/3/26)...............................................................................................................................16
7. 美國證券交易委員會(huì )對只通過(guò)互聯(lián)網(wǎng)經(jīng)營(yíng)的投資顧問(wèn)進(jìn)行了相關(guān)改革（2024
年 3 月 27 日）........................................................................................................................18
SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively
Through the Internet (2024/3/27)......................................................................................... 19
8. 美國商品期貨交易委員會(huì )因澳大利亞互換交易商未履行管理義務(wù)對其處以 50
萬(wàn)美元罰款（2024 年 4 月 2 日）........................................................................................ 20
CFTC Orders Australian Swap Dealer to Pay $500,000 for Supervision Failures
(2024/4/2).................................................................................................................................21
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）.............................................................22
NFA Orders Princeton, N.J. Commodity Pool Operator 50.ai Investments LLC
Not to Reapply for NFA Membership (2024/4/11)............................................................. 23
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）...........................................................................................................23
Federal Court Sanctions Nevada Metals Trader for Spoofing in Gold and Silver
Markets (2024/4/11)............................................................................................................... 24
11. 美國聯(lián)邦法院命令加州男子及其公司為外匯欺詐支付 900 萬(wàn)美元賠償金和罰
款（2024 年 4 月 15 日）.......................................................................................................26
Federal Court Orders California Man and His Company to Pay $9 Million in
Restitution and Penalties for Forex Fraud (2024/4/15)......................................................27
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
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