Page 8 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年8月刊）
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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
11. 美國(guó)商品期貨交易委員會(huì)因巴西和瑞士糖業(yè)公司洗售交易行為命令其支付 75
萬(wàn)美元罰款（2024 年 8 月 19 日）...................................................................................... 24
CFTC Orders Brazilian and Swiss Sugar Companies to Pay $750,000 for Wash
Sales (2024/8/19).....................................................................................................................25
12. 美國(guó)期貨業(yè)協(xié)會(huì)命令波多黎各商品基金管理人 Ikigai Strategic Partners LLC
及其負(fù)責(zé)人 Anthony Robert Emtman 連帶支付 15 萬(wàn)美元罰金（2024 年 8 月 20 日）
..........................................................................................................................................26
NFA Orders Puerto Rico-based Commodity Pool Operator Ikigai Strategic
Partners LLC and Its Principal Anthony Robert Emtman to Jointly Pay a $150,000
Fine (2024/8/20)...................................................................................................................... 26
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）..................27
CFTC Staff Issues No-Action Letter for EU-Based and UK-Based DCOs
Regarding Certain Requirements Applicable to DCOs (2024/8/23).................................28
境外資訊——英國(guó)...................................................................................................................29
14. 英國(guó)金融監(jiān)管機(jī)構(gòu)尋求減輕企業(yè)負(fù)擔(dān)并支持經(jīng)濟(jì)增長(zhǎng)（2024 年 7 月 29 日）29
Financial Regulator Seeks to Reduce Burdens on Firms and Support Growth
(2024/7/29)...............................................................................................................................30
15. 英格蘭銀行與英國(guó)金融行為監(jiān)管局關(guān)于市場(chǎng)基礎(chǔ)設(shè)施監(jiān)管諒解備忘錄的最新
進(jìn)展（2024 年 8 月 7 日）.....................................................................................................32
Update on the Bank of England and FCA Memorandum of Understanding for
Supervision of Market Infrastructure (2024/8/7)............................................................... 32
16. 英國(guó)金融行為監(jiān)管局因不公平的客戶待遇對(duì) FXTB 處以罰款（2024 年 8 月 14
日）..........................................................................................................................................33
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