Page 18 - 期货和衍生品行业监管动态（2023年9月刊）
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期货和衍生品行业监管动态
advisors (CTA) or associated persons (AP) of a CTA without first registering with the
CFTC as required in the Commodity Exchange Act and CFTC regulations.
This order resolves litigation against BareIt Media and Masten filed by the CFTC
on September 2, 2020. [See CFTC Press Release No. 8231-20]
Case Background
The order finds BareIt Media did business as SignalPush from approximately May
1, 2013 through May 1, 2017. SignalPush offered customers and prospective customers
the ability to obtain trade signals and to automate trading on binary options using those
trade signals. According to the order, Masten controlled BareIt Media and solicited
customers and prospective customers to sign up for the SignalPush service. During this
time, BareIt Media was not registered as a CTA, and Masten was not registered as an
AP of BareIt Media.
https://www.cftc.gov/PressRoom/PressReleases/8770-23
3. 美国商品期货交易委员会命令 Goldman Sachs 对其违反记录保存规定和委
员会先前命令的行为支付 550 万美元（2023 年 8 月 29 日）
美国商品期货交易委员会（CFTC）签发一则行政令，对 Goldman Sachs & Co
提出指控并同时达成和解。行政令认定 Goldman 违反了先前命令中的禁止令，
并因其未妥善记录和保存一些音频文件而违反了记录保存规定。【见 CFTC 第
8086-19 号新闻稿】
行政令要求 Goldman 支付 550 万美元的民事罚款，并停止进一步违反《美
国商品交易法》（CEA）和 CFTC 联邦法规中的记录保存规定。
执法主任 Ian McGinley 表示：“正如本案所示，CFTC 将继续追究未履行记
录义务的互换交易商。而且，违反 CFTC 命令将承担相应后果，包括加重处罚。
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