Page 35 - 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

The Decision, issued by an NFA Hearing Panel, is based on a Complaint

authorized by NFA’s Business Conduct Committee (BCC) and a settlement offer

submitted by Bosworth Brokers LLC, Gizienski and Dennis Michael Bosworth, another

principal and AP of Bosworth Brokers LLC, in which they neither admitted nor denied

the Complaint's allegations. The BCC Complaint alleged that Bosworth Brokers LLC

failed to comply with its recordkeeping obligations under NFA Compliance Rule 2-10

and that Gizienski failed to observe high standards of commercial honor and just and

equitable principles of trade under NFA Compliance Rule 2-4, due to Gizienski’s use

of an unapproved, unmonitored platform to communicate with a Bosworth Brokers

LLC customer, which deleted communications after seven days. The Complaint also

alleged that Bosworth Brokers LLC failed to promptly list Gizienski as a principal, in

violation of NFA Registration Rule 208. Finally, the Complaint alleged that Bosworth

Brokers LLC and Bosworth failed to supervise, in violation of NFA Compliance Rule

2-9.

In its Decision, the Panel found that Bosworth Brokers LLC and Bosworth violated

NFA Compliance Rule 2-9; that Bosworth Brokers LLC violated NFA Compliance Rule

2-10 and NFA Registration Rule 208; and that Gizienski violated NFA Compliance Rule

2-4.

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5580

9. 美国期货业协会对位于佛罗里达州多拉的商品基金管理人 Bit5ive Mining

Fund Advisor, LLC 及其负责人 Richard Alexander Acosta 采取紧急执法行动

（2023 年 9 月 18 日）

美国期货业协会（NFA）对位于佛罗里达州多拉的商品基金管理人兼协会会

员的 Bit5ive Mining Fund Advisor, LLC（Bit5ive Advisor），以及 Bit5ive Advisor

列明的负责人和唯一业务代表 Richard Alexander Acosta，采取紧急执法行动。

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