Page 40 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年8月刊）

期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)

Member commodity pool operator located in Rio Grande, Puerto Rico, and Anthony

Robert Emtman, a principal and associated person of Ikigai Strategic, to jointly pay a

$150,000 fine.

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

Ikigai Strategic and Emtman, in which they neither admitted nor denied the

allegations in the Complaint.

In its Decision, the Hearing Panel found that Ikigai Strategic and Emtman

committed the alleged violations set forth in the Complaint. Among other things, the

Complaint alleged that Ikigai Strategic permitted one of the pools the firm operates to

make a prohibited advance of pool assets to an affiliate that Emtman and another

Ikigai Strategic principal own. The Complaint also alleged that the firm and Emtman

acted contrary to high standards of commercial honor and just and equitable principles

of trade regarding the prohibited advance by engaging in conduct that placed the

firm's and Emtman's interests above their obligations to the pool and its participants.

Further, the Complaint alleged that Ikigai Strategic commingled pool funds with the

assets of another pool, failed to provide necessary disclosures to pool participants and

failed to comply with recordkeeping and reporting obligations. Finally, the Complaint
alleged that Ikigai Strategic and Emtman failed to supervise the firm's operations and

its employees.

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5676

13. 美國(guó)商品期貨交易委員會(huì)工作人員發(fā)布針對(duì)歐盟和英國(guó)的衍生品清算機(jī)構(gòu)

的不行動(dòng)函，涉及適用于衍生品清算機(jī)構(gòu)的具體要求（2024 年 8 月 23 日）

美國(guó)商品期貨交易委員會(huì)（CFTC）的清算和風(fēng)險(xiǎn)部（DCR）發(fā)布了一封不

行動(dòng)函，旨在解決相關(guān) CFTC 聯(lián)邦法規(guī)對(duì)位于歐盟（EU）或英國(guó)（UK）的注冊(cè)

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