Page 5 - 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)
(2024/5/14)...............................................................................................................................12
7. 美國證券交易委員會(huì )通過(guò)對 S-P 條例的修正案,以加強對客戶(hù)信息的保護(2024
年 5 月 16 日)........................................................................................................................14
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of
Customer Information (2024/5/16).......................................................................................15
8. 美國證券交易委員會(huì )指控 Intercontinental Exchange 及其九家關(guān)聯(lián)公司(包括
the New York Stock Exchange)未就網(wǎng)絡(luò )入侵向其進(jìn)行通報(2024 年 5 月 22 日)..16
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New
York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion
(2024/5/22)...............................................................................................................................17
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).............................................................................................................................19
CFTC Orders J.P. Morgan to Pay $200 Million for Supervision Failures
(2024/5/23)...............................................................................................................................20
境外資訊——歐盟...................................................................................................................23
10. 歐洲三大監管機構更新風(fēng)險報告:歐盟金融體系中仍存在較高風(fēng)險(2024 年
4 月 30 日).............................................................................................................................23
ESAs Risk Update: Risks Remain High in the EU Financial System (2024/4/30).. 24
11. 歐盟證券與市場(chǎng)管理局就基于《歐盟金融工具市場(chǎng)指引》審查背景下的商品
衍生品規定公開(kāi)征求意見(jiàn)(2024 年 5 月 23 日)..............................................................25
ESMA Consults on Commodity Derivatives under MiFID Review (2024/5/23).....26
境外資訊——英國...................................................................................................................28
12. 三人被指控通過(guò)差價(jià)合約交易欺詐養老金(2024 年 5 月 15 日).................. 28
Three Charged over CFD Trading Pension Fraud (2024/5/15)................................28
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