Page 29 - 期货和衍生品行业监管动态（2023年11月刊）
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期货和衍生品行业监管动态
which summarized the various steps its members had taken and discussed additional
polices under consideration. On November 16, 2023, the IAWG will convene its ninth
annual U.S. Treasury Market Conference to further discuss recent developments and
proposals to improve Treasury market resilience.
https://www.cftc.gov/PressRoom/PressReleases/8820-23
8. 美国期货业协会要求英国伦敦的介绍经纪商 Braemar 证券支付 14 万美元罚
金（2023 年 11 月 15 日）
美国期货业协会（NFA）要求 Braemar 证券（Braemar Securities LTD）支付
14 万美元罚金。Braemar 证券位于英国伦敦，是 NFA 介绍经纪商（IB）会员。
该决定由 NFA 听证小组（NFA Hearing Panel）作出，其依据的是 NFA 商业
行为委员会发布的控告书和 Braemar Securities 提交的和解申请，在和解申请中，
Braemar 证券既不承认也不否认控告书中的指控。控告书指控 Braemar 证券未能
履行其通信记录保存义务，违反了 NFA 合规规则（NFA Compliance Rule）第 2-
10 条，并披露了客户的非公开机密信息，违反了 NFA 合规规则第 2-26 条。控告
书进一步指控 Braemar 证券未履行监督职责，违反了 NFA 合规规则第 2-9 条。
在其决定中，听证小组认定Braemar Securities违反了NFA合规规则2-10条、
第 2-26 条和 2-9 条。
NFA Orders London, United Kingdom Introducing Broker Braemar Securities
LTD to Pay A $140,000 Fine (2023/11/15)
NFA has ordered Braemar Securities LTD (Braemar Securities) to pay a $140,000
fine. Braemar Securities is an introducing broker (IB) Member of NFA located in
London, United Kingdom.
The Decision, issued by an NFA Hearing Panel (Panel), is based on
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