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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
facilities are no longer authorized in the UK.
On February 25, 2019, the CFTC issued a statement in conjunction with the
Bank of England, including the Prudential Regulation Authority, and the Financial
Conduct Authority to provide regulatory certainty on the continuity of derivatives
trading and clearing activities between the UK and the United States. [See CFTC
Press Release No. 7876-19]
The letter announced today extends the positions previously announced in CFTC
Staff Letter No. 22-16. It seeks to maintain the regulatory certainty established when
the CFTC originally acted to issue EU comparability determinations and exemptive
orders for certain EU entities. MPD and DMO continue to believe that maintaining
these no action positions is proper while the CFTC works with the relevant UK
authorities to analyze relevant UK law and, where appropriate, issue UK
comparability determinations and exemptive orders for certain UK entities.
https://www.cftc.gov/PressRoom/PressReleases/8955-24
5. 美國商品期貨交易委員會(huì)因 Nasdaq Futures, Inc.違背核心原則、未完全披露
激勵(lì)措施及提供虛假和誤導(dǎo)性信息命令其支付 2200 萬美元罰款（2024 年 8 月 29
日）
美國商品期貨交易委員會(huì)（CFTC）發(fā)布一項(xiàng)命令，對曾是指定合約市場
（DCM）的 Nasdaq Futures, Inc.提出指控并達(dá)成和解。該命令發(fā)現(xiàn) Nasdaq Futures,
Inc.未能妥善建立、監(jiān)控或執(zhí)行與其在指定合約市場上提供的激勵(lì)計(jì)劃相關(guān)的規(guī)
則。命令還發(fā)現(xiàn)，Nasdaq Futures, Inc.沒有向 CFTC 或公眾充分披露該激勵(lì)計(jì)劃
的詳細(xì)信息，違反了《美國商品交易法》（CEA）和 CFTC 聯(lián)邦法規(guī)的要求。此
外，命令發(fā)現(xiàn) Nasdaq Futures, Inc.向 CFTC 作了關(guān)于激勵(lì)計(jì)劃的虛假和誤導(dǎo)性陳
述。該命令要求該公司支付 2200 萬美元的民事罰款。
9
