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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
Additionally, the initial consent order found the defendant engaged in a
fraudulent scheme beginning in 2018 in which he accepted investment funds from
participants with false claims of a 10% return every 30 business days. Although
Ichioka invested some funds in forex and digital asset commodities, he commingled
participant money with his own funds and used participant funds for his own personal
expenses, including, among other things, rent for his personal residence, jewelry,
including watches, and luxury vehicles. To conceal his fraudulent activity, Ichioka
overstated the value of assets he held by generating false financial documents and
presenting false account statements to participants.
https://www.cftc.gov/PressRoom/PressReleases/8970-24
15. 美國(guó)商品期貨交易委員會(huì)工作人員將關(guān)于資本和財(cái)務(wù)報(bào)告的臨時(shí)不行動(dòng)函
擴(kuò)展至歐盟和英國(guó)的特定非銀行互換交易商(2024 年 9 月 20 日)
美國(guó)商品期貨交易委員會(huì)(CFTC)的市場(chǎng)參與者部(MPD)宣布發(fā)布一封
臨時(shí)不行動(dòng)函,將 CFTC 工作人員函第 21-20 號(hào)和第 22-10 號(hào)擴(kuò)展至在歐盟和英
國(guó)注冊(cè)的特定非銀行互換交易商(SDs),這些交易商正在接受 CFTC 關(guān)于資本
和財(cái)務(wù)報(bào)告要求可比性認(rèn)定的審查。
作為非銀行互換交易商資本和財(cái)務(wù)報(bào)告要求的一部分,CFTC 采用了替代合
規(guī)框架,允許某些非銀行互換交易商在 CFTC 認(rèn)定其本國(guó)要求與 CFTC 的要求具
有可比性的前提下,以其本國(guó)資本和財(cái)務(wù)報(bào)告要求的合規(guī)性為依據(jù),而不必完全
遵守 CFTC 的資本充足性和財(cái)務(wù)報(bào)告要求。
通過(guò)此次發(fā)布的 CFTC 工作人員函第 24-13 號(hào),市場(chǎng)參與者部擴(kuò)展了對(duì)未涵
蓋在現(xiàn)有 CFTC 資本和財(cái)務(wù)報(bào)告要求命令中的歐盟和英國(guó)的合資格的非銀行互
換交易商的不行動(dòng)立場(chǎng)。不采取行動(dòng)的條件是這些非銀行互換交易商繼續(xù)遵守適
用的本國(guó)資本和財(cái)務(wù)報(bào)告要求,并向 CFTC 提交特定財(cái)務(wù)報(bào)告信息。
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