Page 32 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年7月刊）
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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
該決定由 NFA 商業(yè)行為委員會(huì)（BBC）作出，基于該委員會(huì)提出的控告書
及 Rimar Capital 與 Itai Royi Liptz 提交的和解申請(qǐng)。在這份和解申請(qǐng)中，Rimar
Capital 與 Itai Royi Liptz 對(duì)于被指控的行為既未承認(rèn)也未予以否認(rèn)。
NFA 商業(yè)行為委員會(huì)在該決定中指出，Rimar Capital 及負(fù)責(zé)人 Liptz 未能恪
守商業(yè)誠信的高標(biāo)準(zhǔn)和交易公平公正原則，具體表現(xiàn)在處理客戶訂單之前先行交
易；在與潛在客戶的溝通中使用了具有欺騙性和誤導(dǎo)性的手段以及未能有效監(jiān)督
其業(yè)務(wù)運(yùn)作及員工行為。此外，商業(yè)行為委員會(huì)還查明 Rimar Capital 縱容一名
未經(jīng)注冊(cè)的個(gè)人以業(yè)務(wù)人員的身份開展活動(dòng)。
上述控告書和決定內(nèi)容的全文可在 NFA 官方網(wǎng)站查閱。
NFA Orders California Firm Rimar Capital LLC and Its Principal Itai Royi
Liptz to Withdraw from NFA Membership and Principal Status and Not
Reapply for 30 Months (2024/7/8)
NFA has ordered Rimar Capital LLC (Rimar Capital), an NFA Member
commodity trading advisor located in Burlingame, California, and Itai Royi Liptz
(Liptz), an associated person (AP) and a principal of Rimar Capital and an NFA
Associate, to withdraw from and not reapply for NFA membership and principal
status for 30 months. If either Rimar Capital or Liptz seeks NFA membership or
principal status following the 30-month period, they must pay a $90,000 fine.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on
a Complaint issued by the BCC and a settlement offer submitted by Rimar Capital and
Liptz, in which they neither admitted nor denied the allegations in the Complaint.
In its Decision, the BCC found that Rimar Capital and Liptz failed to observe
high standards of commercial honor and just and equitable principles of trade by
trading ahead of customer accounts, used deceptive and misleading communications
with potential customers, and failed to supervise its operations and employees. The
BCC also found that Rimar Capital allowed an individual to act as an AP without
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