Page 22 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2024年8月刊）

期貨和衍生品行業(yè)監(jiān)管動態(tài)

該決定是基于 NFA 商業(yè)行為委員會（BCC）提交的控告書和 East West Global

及 Adrian 的和解申請作出的，由 NFA 聽證小組發(fā)布。在和解申請中，公司和

Adrian 既未承認(rèn)也未否認(rèn)控告書中的指控。

商業(yè)行為委員會指控 East West Global 和 Adrian 從事涉及他們運營的商品基

金 iFund Diversified I, LLC（基金）的欺詐性行為，違反了 NFA 合規(guī)規(guī)則第 2-2

（a）條、第 2-4 條、第 2-29（a）條和第 2-29（b）條。控告書稱 East West Global

和 Adrian 對基金做出了重大更改，包括公司和 Adrian 如何使用參與者的退休基

金，這些更改完全改變了投資的期限，但未能充分向參與者披露這些更改及其后

果，也未以參與者的最大利益為出發(fā)點。控告書還指控 East West Global 和 Adrian

誤導(dǎo)參與者，使他們在基金存在重大虧損的情況下仍相信能夠收回初始投資，并

進(jìn)行了具有欺騙性和誤導(dǎo)性的溝通及宣傳。

上述控告書和決定內(nèi)容的全文可在 NFA 網(wǎng)站上查閱。

NFA Permanently Prohibits Glencoe, Ill. Commodity Pool Operator East West

Global LLC and Its Principal Luke Adrian from NFA Membership and

Principal Status (2024/8/5)

NFA has permanently prohibited East West Global LLC (East West Global), a

former NFA Member commodity pool operator located in Glencoe, Ill., from

reapplying for membership and from acting or being listed as a principal of an NFA

Member. NFA has also permanently prohibited Luke James Adrian (Adrian), a former

principal and associated person of East West Global, from applying for NFA

membership, reapplying for NFA associate membership and from acting or being

listed as a principal of an NFA Member.

The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued

by NFA’s Business Conduct Committee (BCC) and a settlement offer submitted by

East West Global and Adrian. In the settlement offer, the firm and Adrian neither

admitted nor denied the allegations in the Complaint.

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