Page 22 - 期货和衍生品行业监管动态（2023年8月刊）

期货和衍生品行业监管动态

相关民事诉讼

美国证券交易委员会（SEC）宣布对几家金融机构提出指控并达成和解，并

对与使用未经批准的通信方式有关的记录保存和监督违规行为处以民事罚款。

CFTC Orders Four Financial Institutions to Pay Total of $260 Million for

Recordkeeping and Supervision Failures for Widespread Use of Unapproved

Communication Methods (2023/8/8)

The Commodity Futures Trading Commission today issued orders simultaneously

filing and settling charges against swap dealer and futures commission merchant (FCM)

affiliates of four financial institutions for failing to maintain, preserve, or produce

records that were required to be kept under CFTC recordkeeping requirements, and

failing to diligently supervise matters related to their businesses as CFTC registrants.

The settling registrants admit the facts detailed in the orders, are ordered to cease

and desist from further violations of recordkeeping and supervision requirements, and

are ordered to engage in specified remedial undertakings.

The settling bank-affiliated swap dealers and/or FCMs are:

 BNP Paribas (BNP Paribas S.A. and BNP Paribas Securities Corp.) $75

million

 Société Générale (Société Générale SA and SG Americas Securities, LLC)

$75 million

 Wells Fargo (Wells Fargo Bank NA and Wells Fargo Securities LLC) $75

million

 Bank of Montreal (Bank of Montreal) $35 million

“With today’s actions, the CFTC has now brought enforcement actions against

18 financial institutions, and imposed over $1 billion in penalties, for violations of the

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