Page 21 - 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
in May 2020, and the vendor’s hardware was replaced with an alternative system in
September 2020.
Separately, beginning in March 2020, Goldman began using software from another
vendor that was designed to replicate the experience of a hard-wired trading turret—a
specialized phone setup used to facilitate trading—via a computer. In late May 2020,
Goldman discovered a software issue where the system sometimes failed to properly
record audio. As a result, Goldman failed to fully record and retain thousands of calls.
After implementing an interim fix, a permanent fix in the form of a software update
was completed in June 2022.
The order recognizes Goldman’s cooperation with the CFTC’s investigation and
also acknowledges Goldman’s representations concerning its remediation in connection
with this matter.
https://www.cftc.gov/PressRoom/PressReleases/8769-23
4. 美国商品期货交易委员会指控 My Forex Funds 从希望成为职业交易者的客
户处骗取 3 亿美元（2023 年 9 月 1 日）
法院发布资产冻结限制令
美国商品期货交易委员会（CFTC）宣布，其已向新泽西联邦地区法院提起
诉讼，指控 Murtuza Kazmi（原籍为新泽西菲利普斯堡）及其新泽西公司 Traders
Global Group Inc.和加拿大公司 Traders Global Group Inc.，以 My Forex Funds 的
名义开展业务。起诉状指控他们欺诈性招揽客户进行具有杠杆、保证金或融资性
质的零售外汇交易，以及具有杠杆性质的零售商品交易。
8 月 29 日，美国地区法院法官 Robert B. Kugler 签发一则法定限制令，冻结
被告资产；要求被告提交账簿和记录，由 CFTC 进行审查；并任命了一名临时接
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