Page 24 - 期货和衍生品行业监管动态（2023年8月刊）
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期货和衍生品行业监管动态
supervise its business as a CFTC registrant or registrants, in violation of CFTC
recordkeeping and supervision provisions.
Since December 2021, the CFTC has imposed $1.091 billion in civil monetary
penalties on 18 financial institutions for their use of unapproved methods of
communication, in violation of CFTC recordkeeping and supervision requirements.
[See CFTC Press Release Nos. 8470-21; 8599-22; 8699-23; 8701-23.]
Related Civil Actions
The Securities and Exchange Commission (SEC) today also announced entry of
orders filing and settling charges against several financial institutions and imposing
civil monetary penalties for recordkeeping and supervision violations related to the use
of unapproved methods of communication.
https://www.cftc.gov/PressRoom/PressReleases/8762-23
4. 美国商品期货交易委员会命令得克萨斯州交易顾问及其公司为其欺诈性招
揽和未依法注册行为支付 25 万美元（2023 年 8 月 15 日）
美国商品期货交易委员会（CFTC）签发行政令，对得克萨斯州的 Peter L.
Bryant 及其在得克萨斯注册的公司 Bryant Capital Trade Management Corporation
（Bryant Capital）进行立案并达成和解，因其未注册为商品交易顾问且在未注册
的情形下以商品交易顾问（CTA）的名义从事欺诈行为。
行政令要求 Bryant 和 Bryant Capital 连带支付 55,655.90 美元赔偿金和
195,000 美元的民事罚款，并停止进一步违反《美国商品交易法》（CEA） 和 CFTC
联邦法规的行为。此外，行政令还对 Bryant 和 Bryant Capital 处以为期四年的交
易和注册禁令。
案件背景
10
