Page 8 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年9月刊）
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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
NFA Orders Florida Firm Trinity Trading Group LLC and Its Principal Not to
Reapply for NFA Membership and Principal Status (2024/9/19)..................................... 24
13. 美國(guó)商品期貨交易委員會(huì)批準(zhǔn)關(guān)于自愿碳信用衍生品合約上市的最終指導(dǎo)意
見(jiàn)（2024 年 9 月 20 日）.......................................................................................................25
CFTC Approves Final Guidance Regarding the Listing of Voluntary Carbon
Credit Derivative Contracts (2024/9/20)..............................................................................26
14. 紐約居民因進(jìn)行外匯和數(shù)字資產(chǎn)欺詐被聯(lián)邦法院命令支付超過(guò) 3600 萬(wàn)美元
（2024 年 9 月 20 日）...........................................................................................................27
Federal Court Orders New York Man to Pay Over $36 Million for Forex and
Digital Asset Fraud (2024/9/20)............................................................................................ 28
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）..................................29
CFTC Staff Extends Temporary No-Action Letter Regarding Capital and
Financial Reporting for Certain Non-U.S. Nonbank Swap Dealers Domiciled in the EU
and the UK (2024/9/20)..........................................................................................................30
境外資訊——?dú)W盟...................................................................................................................32
16. 歐盟監(jiān)管當(dāng)局警告經(jīng)濟(jì)和地緣政治事件帶來(lái)的風(fēng)險(xiǎn)（2024 年 9 月 10 日）...32
ESAs Warn of Risks from Economic and Geopolitical Events（2024/9/10）.........33
境外資訊——英國(guó)...................................................................................................................35
17. 英國(guó)金融行為監(jiān)管局的進(jìn)步表現(xiàn)有望助力英國(guó)金融部門(mén)蓬勃發(fā)展（2024 年 9
月 5 日）..................................................................................................................................35
FCA’s Improved Performance Set to Help UK Finance Sector Thrive (2024/9/5).....
..........................................................................................................................................36
境內(nèi)資訊...................................................................................................................................40
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