Page 7 - 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)

日）............................................................................................................................................8

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)....................................................................................................................... 9

6. 美國商品期貨交易委員會批準(zhǔn)建立數(shù)據(jù)報告技術(shù)標(biāo)準(zhǔn)的聯(lián)合規(guī)則草案（2024 年

8 月 8 日）...............................................................................................................................10

CFTC Approves a Joint Rule Proposal to Establish Technical Data Reporting

Standards (2024/8/8).............................................................................................................. 11

7. 美國商品期貨交易委員會對 FTX 和 Alameda 的訴訟獲賠 127 億美元（2024 年

8 月 8 日）...............................................................................................................................12

CFTC Obtains $12.7 Billion Judgment Against FTX and Alameda (2024/8/8)......14

8. 美國商品期貨交易委員會因一家得克薩斯州的公司未依法注冊為介紹經(jīng)紀(jì)人

命令其支付 10 萬美元罰款（2024 年 8 月 12 日）............................................................16

CFTC Orders Texas Company to Pay $100,000 for Failing to Register as an

Introducing Broker (2024/8/12)............................................................................................17

9. 美國商品期貨交易委員會命令跨國商品交易公司因違反美國聯(lián)邦關(guān)于持倉限

額的規(guī)定支付 50 萬美元罰款（2024 年 8 月 14 日）........................................................18

CFTC Orders Multinational Commodities Trading Firm to Pay $500,000 Penalty

for Federal Position Limit Violations (2024/8/14)...............................................................19

10. 美國商品期貨交易委員會命令 Truist 銀行支付 300 萬美元罰款并整改與廣泛

使用未經(jīng)批準(zhǔn)的通信方式相關(guān)的記錄保存和管理失效問題（2024 年 8 月 14 日）......20

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）............................................................................22

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