Page 7 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年7月刊）

期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)

Federal Court Enters Summary Judgment Against Oregon Man and Orders $83

Million in Restitution for Fraud Victims (2024/7/3)...........................................................13

8. 美國期貨業(yè)協(xié)會(huì)要求加州某公司及主要負(fù)責(zé)人退出協(xié)會(huì)及負(fù)責(zé)人職位并在 30

個(gè)月內(nèi)不得重新申請(qǐng)（2024 年 7 月 8 日）........................................................................15

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).................................................................................................................. 16

9. 首屆聚焦打擊“殺豬盤”類加密貨幣騙局的跨機(jī)構(gòu)會(huì)議召開（2024 年 7 月 11 日）

................................................................................................................................................. 17

First Interagency Fraud Disruption Conference Focuses on Combatting Crypto

Schemes Commonly Known as “Pig Butchering” (2024/7/11)..........................................18

10. 美國商品期貨交易委員會(huì)發(fā)布關(guān)于全額擔(dān)保二元期權(quán)報(bào)告和記錄保存規(guī)定的

不行動(dòng)函（2024 年 7 月 12 日）..........................................................................................19

CFTC Staff Issues No-Action Letter Regarding Reporting and Recordkeeping

Requirements for Fully Collateralized Binary Options (2024/7/12)................................ 19

境外資訊——?dú)W盟.................................................................................................................. 21
11. 歐盟證券與市場管理局對(duì)中央對(duì)手方進(jìn)行的壓力測試表明清算系統(tǒng)具備韌性

（2024 年 7 月 9 日）............................................................................................................21

ESMA’s Stress Test of Central Counterparties Finds Clearing System Resilient

(2024/7/9)................................................................................................................................ 22

12. 歐盟證券與市場管理局發(fā)布 2023 年投資公司跨境投資活動(dòng)數(shù)據(jù)（2024 年 7 月

15 日）.................................................................................................................................... 24

ESMA Publishes 2023 Data on Cross-border Investment Activity of Firms

(2024/7/15).............................................................................................................................. 25

13. 歐盟證券與市場管理局就《歐盟金融市場工具指引 II》下的投資公司交易指

令執(zhí)行政策征求意見（2024 年 7 月 16 日）......................................................................26

ESMA Consults on Firms’ Order Execution Policies under MiFID II (2024/7/16)

......................................................................................................................................... 27

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