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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
by CFTC staff about whether Nasdaq Futures, Inc. paid DMM program participants
for trade volume, its employees repeatedly stated there was no volume-based
component to the DMM program. Nasdaq Futures, Inc. reasonably should have
known all such denials, statements, and omissions were false and misleading at the
time.
Further, Nasdaq Futures, Inc.’s failure to disclose this volume-based component
of the DMM program to the CFTC, the public, its own compliance staff, and
regulatory service provider led to the violation of several DCM Core Principles
mandated in the CEA. Finally, Nasdaq Futures, Inc. did not follow its regulatory
service provider’s recommendation to contact three DMM program participants about
certain trading activity or document why it did not, in violation of a CFTC
Regulation.
The CFTC appreciates the assistance of the National Futures Association.
https://www.cftc.gov/PressRoom/PressReleases/8954-24
6. 美國證券交易委員會(huì)指控經(jīng)紀(jì)交易商 Nationwide Planning 及其兩家關(guān)聯(lián)投
資顧問違反吹哨人保護(hù)規(guī)則（2024 年 9 月 4 日）
美國證券交易委員會(huì)（SEC）宣布，對(duì)三家關(guān)聯(lián)注冊(cè)公司提出指控并達(dá)成和
解。這三家公司包括 SEC 注冊(cè)的經(jīng)紀(jì)交易商 Nationwide Planning Associates, Inc.、
投資顧問 NPA Asset Management, LLC 和投資顧問 Blue Point Strategic Wealth
Management, LLC，指控他們阻礙經(jīng)紀(jì)客戶和咨詢客戶向 SEC 報(bào)告他們違反證券
法的行為。三家公司同意支付總計(jì) 24 萬美元的民事罰款以就上述指控達(dá)成和解。
2
根據(jù) SEC 的命令，021 年 5 月至 2024 年 2 月，Nationwide、NPA 和 Blue Point
共同要求 11 名零售客戶簽署保密協(xié)議，協(xié)議涉及其向客戶投資賬戶支付的款項(xiàng)。
支付這些款項(xiàng)是為了補(bǔ)償因這些公司涉嫌違反聯(lián)邦或州證券法而給客戶造成的
12
