Page 40 - 期货和衍生品行业监管动态（2023年9月刊）
P. 40
期货和衍生品行业监管动态
Failed to Diligently Supervise its Compliance Process
The Commodity Futures Trading Commission today issued an order
simultaneously filing and settling charges against StoneX Markets LLC (StoneX), a
registered swap dealer, for violations of the CFTC’s Business Conduct Standards
applicable to swap dealers. Specifically, the CFTC found that StoneX failed to disclose
thousands of Pre-Trade Mid-Market Marks (PTMMM), in violation of CFTC
Regulation 23.431, and failed to diligently supervise its PTMMM compliance process,
in violation of CFTC Regulation 23.602.
The order imposes a $650,000 civil monetary penalty and requires StoneX to
complete its remediation and submit reports to the Division of Enforcement on its
compliance.
Case Background
StoneX admits and the order finds that for numerous transactions between 2016
and 2022, StoneX failed to diligently supervise its PTMMM disclosure process,
resulting in StoneX’s failure to comply with PTMMM disclosure requirements for
thousands of swap transactions. Specifically, StoneX failed to implement procedures to
ensure that its PTMMMs were accurate (i.e., consistent with StoneX’s internal pricing
methodologies), failed to adequately train and monitor its associated persons regarding
PTMMM disclosure requirements, and failed to timely provide PTMMMs to
counterparties.
https://www.cftc.gov/PressRoom/PressReleases/8778-23
12. 美国商品期货交易委员会因位于芝加哥的 Advantage Futures LLC 未履行监
督义务而对其处以 39.5 万美元罚款（2023 年 9 月 20 日）
美国商品期货交易委员会（CFTC）签发行政令，对总部位于伊利诺伊州芝
27
