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      Page 29 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)(2024年5月)
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      期貨和衍生品行業(yè)監管動(dòng)態(tài)
      
      
      
      
                         SEC enforcement actions, including for violations of Reg SCI.”
      
      
                              ICE and its subsidiaries consented to the entry of the SEC’s order finding that the
      
                         subsidiaries violated the notification provisions of Regulation SCI and that ICE
      
                         caused those violations. Without admitting or denying the SEC’s findings, ICE and its
      
                         subsidiaries, consisting of Archipelago Trading Services, Inc.; New York Stock
      
                         Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; ICE Clear Credit LLC; ICE
      
                         Clear Europe Ltd.; NYSE Chicago, Inc.; NYSE National, Inc.; and the Securities
      
                         Industry Automation Corporation agreed to a cease-and-desist order in addition to
      
                         ICE’s monetary penalty.
      
      
                         https://www.sec.gov/news/press-release/2024-63
      
      
      
      
      
      
      
                         9.  J.P.Morgan 因管理不善被美國商品期貨交易委員會(huì )處以 2 億美元罰款(2024
      
      
                         年 5 月 23 日)
      
      
      
                         美國商品期貨交易委員會(huì )(CFTC)發(fā)現 J.P.Morgan 未能監控美國指定合約市
      
                         場(chǎng)上的數十億份客戶(hù)訂單
      
      
                              CFTC 簽發(fā)行政令,對注冊期貨傭金商和互換交易商 J.P. Morgan Securities
      
                         LLC 未能認真管理其作為 CFTC 注冊實(shí)體的業(yè)務(wù)并導致其未能在監控系統中捕
      
                         捉到數十億份訂單的行為提起指控并達成和解。
      
      
                              J.P.Morgan 承認了行政令第 II.C.2 節(監控數據缺漏的范圍)和第 3 節(監
      
                         控數據存在缺漏的原因)中的事實(shí);承認其在這些部分的行為違反了 CFTC 聯(lián)邦
      
                         法規;除此之外,其對被發(fā)現的事實(shí)不承認也不否認。
      
      
                              行政令要求 J.P.Morgan 支付 2 億美元的民事罰款(CMP),停止進(jìn)一步違反
      
                         CFTC 監管要求的行為,并遵守行政令中列舉的條件和承諾。行政令規定,依據
      
                         美國貨幣監理署(the Office of the Comptroller of the Currency)于 2024 年 3 月 14
      
                         日關(guān)于 JPMorgan Chase Bank, N.A.監控漏洞作出的處置方案以及美國聯(lián)邦儲備
      
      
      
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