Page 33 - 期货和衍生品行业监管动态（2023年9月刊）

期货和衍生品行业监管动态

Management Inc.（Transamerica，协会会员）及其前员工 Quynh Pham Keiser 提起

的指控。

决定书系依据委员会提交的控告书、Transamerica 和 Keiser 分别提交的和解

请求作出，在和解申请中，他们既不承认也不否认控告书的指控。在针对

Transamerica 的决定书中，委员会认定 Transamerica 未勤勉监督公司运行，违反

了 NFA 合规规则 2-9(a)，并命令 Transamerica 向 NFA 支付 14 万美元罚金。在

针对 Keiser 的决定书中，委员会认定 Keiser 故意向 NFA 提交重大虚假或误导性

信息，违反了 NFA 合规规则 2-2(f)，并禁止 Keiser 在未来任何时候再申请成为

NFA 非正式会员，申请成为 NFA 会员或会员负责人身份，或以会员的负责人身

份行事。

NFA Orders Denver-based Firm Transamerica Asset Management Inc. to Pay a

$140,000 Fine and Sanctions a Former Transamerica Employee (2023/9/12)

NFA issued Decisions against Transamerica Asset Management Inc.
(Transamerica), an NFA Member commodity pool operator located in Denver, Colorado,

and its former employee, Quynh Pham Keiser, resolving charges brought against them

by NFA’s Business Conduct Committee (Committee or BCC).

The BCC Decisions are based on a Complaint issued by the Committee and

separate settlement offers submitted by Transamerica and Keiser, in which they neither

admitted nor denied the Complaint’s allegations. In the Transamerica Decision, the

BCC found Transamerica failed to diligently supervise the firm’s operations, in

violation of NFA Compliance Rule 2-9(a), and ordered Transamerica to pay a $140,000

fine to NFA. In the Keiser Decision, the BCC found Keiser willfully submitted

materially false or misleading information to NFA, in violation of NFA Compliance

Rule 2-2(f), and ordered Keiser not to reapply for NFA associate membership, apply

for NFA membership or principal status with a Member, or act as a principal of a

Member at any time in the future.

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