Page 35 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年8月刊）
P. 35
期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
了內(nèi)部調(diào)查，發(fā)現(xiàn)了潛在的違規(guī)行為，并迅速將這些事實(shí)報(bào)告給 CFTC。Truist
在 CFTC 調(diào)查中進(jìn)行了實(shí)質(zhì)性合作，包括擴(kuò)大和分享其抽樣分析結(jié)果。Truist 表
示，其正在加強(qiáng)紀(jì)律政策，并繼續(xù)開展在自我報(bào)告時(shí)已開始的整改工作。
CFTC Orders Truist Bank to Pay $3 Million Penalty and Remediate
Recordkeeping and Supervision Failures Relating to Widespread Use of
Unapproved Communications Methods（2024/8/14）
Truist Receives Substantially Reduced Penalty for Self-Reporting to the
Division of Enforcement
The Commodity Futures Trading Commission today issued an order
simultaneously filing and settling charges against North Carolina swap dealer Truist
Bank. The order finds Truist failed to maintain, preserve, or produce records required
to be kept under CFTC recordkeeping requirements. Truist also failed to diligently
supervise matters related to its business as a CFTC swap dealer.
Truist admits the facts detailed in the order, is ordered to cease and desist from
further violations of recordkeeping and supervision requirements, is ordered to pay a
$3 million civil monetary penalty, and is ordered to engage in specific remedial
undertakings.
Truist self-reported it proactively conducted a review of the use of unapproved
communications methods by its employees. The review demonstrated widespread and
longstanding use of unapproved communication methods by swap dealer
employees—including senior-level employees—to engage in firm business. The order
recognizes Truist’s self-report, its substantial cooperation with the Division of
Enforcement’s investigation, and remediation in the form of a substantially reduced
penalty.
“In responding to an industry-wide and consequential problem, Truist set itself
apart from the more than 20 other registrants the CFTC brought actions against for
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