Page 35 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2024年9月刊）
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期貨和衍生品行業(yè)監(jiān)管動態(tài)
人行事，違反了 NFA 章程第 301（b）條；還指控 Trinity Trading 和 Schock 在與
Trinity Trading 投資者的交易中未能遵守商業(yè)信譽的高標(biāo)準(zhǔn)和公正公平的交易原
則，違反了《NFA 合規(guī)規(guī)則》第 2-4 條；未能遵守 NFA 的宣傳材料要求，違反
了通過《NFA 合規(guī)規(guī)則》第 2-39（a）條引入的《NFA 合規(guī)規(guī)則》第 2-36（g）
條。最后，控告書指控 Trinity Trading 和 Schock 未能履行管理職責(zé)，違反了通過
《NFA 合規(guī)規(guī)則》第 2-39（a）條引入的《NFA 合規(guī)規(guī)則》第 2-36（e）條。
在其決定中，商業(yè)行為委員會認定 Trinity Trading 和 Schock 確實構(gòu)成了控告
書中指控的違規(guī)行為。
NFA Orders Florida Firm Trinity Trading Group LLC and Its Principal Not to
Reapply for NFA Membership and Principal Status (2024/9/19)
NFA has ordered Trinity Trading Group LLC (Trinity Trading), a commodity
pool operator and commodity trading advisor and former NFA Member forex firm
located in Orlando, Florida, not to reapply for NFA membership or act or be listed as a
principal of an NFA Member. NFA has also ordered Bruce R. Schock (Schock), a
former NFA Associate and prior principal of Trinity Trading, not to apply for NFA
membership, or reapply for NFA associate membership, or act or be listed as a
principal of an NFA Member.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on
a Complaint issued by the BCC and a settlement offer submitted by Trinity Trading
and Schock, in which they neither admitted nor denied the allegations in the
Complaint.
Among other charges, the BCC’s Complaint alleged Trinity Trading failed to
create and maintain required records, failed to distribute disclosure documents and
account statements to pool participants, and commingled pool assets, in violation of
NFA Compliance Rule 2-13(a); and permitted unregistered individuals to act as
associated persons without being NFA Associates, in violation of NFA Bylaw 301(b).
The Complaint further alleged Trinity Trading and Schock failed to observe high
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