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      Page 32 - 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)
      
      
      
      
                         surveillance on these venues.
      
      
                              The surveillance gaps resulted from J.P. Morgan’s failure to configure certain
      
                         data feeds to ensure complete trade and order data were being ingested by J.P.
      
                         Morgan’s surveillance tools. On a specific U.S. designated contract market, J.P.
      
                         Morgan failed to ingest into its surveillance systems—and thus failed to
      
                         surveil—billions of order messages from 2014 through 2021, which, according to J.P.
      
                         Morgan, largely consisted of sponsored access trading activity for three significant
      
                         algorithmic trading firms. J.P. Morgan has represented the surveillance gaps were
      
                         fully remediated by 2023.
      
      
                              According to the order, while J.P. Morgan had in place a quarterly reconciliation
      
                         process designed to ensure the completeness of some order and trade data ingested
      
                         into certain surveillance systems, J.P. Morgan did not subject direct-from-exchange
      
                         data feeds to that reconciliation process, based on an erroneous assumption that data
      
                         directly from an exchange was from a “golden source” and thus did not need to be
      
                         tested.
      
      
                              The CFTC acknowledges and appreciates the assistance of the Office of the
      
      
                         Comptroller of the Currency and the Board of Governors of the Federal Reserve
                         System in this matter.
      
      
      
                         https://www.cftc.gov/PressRoom/PressReleases/8914-24
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
      
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