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      Page 7 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)(2024年4月)
      P. 7

      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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