Page 30 - 期货和衍生品行业监管动态（2024年1月）
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期货和衍生品行业监管动态
CFTC 根据《美国商品交易法》（CEA）第 5a 节和 CFTC 联邦法规第 38.3(a)
条发出了指定行政令。CFTC 认定，IMX Health 已证明其有能力遵守适用于指定
合约市场的《美国商品交易法》条款和 CFTC 联邦法规。除其他事项外，该行政
令的条款和条件要求 IMX Health 遵守适用于指定合约市场的《美国商品交易法》
和 CFTC 联邦法规的所有规定。
随着 IMX Health 的加入，指定合约市场的数量将达到 17 个。
CFTC Designates IMX Health, LLC as a Contract Market (2024/1/18)
The Commodity Futures Trading Commission today announced it has issued an
Order of Designation to IMX Health, LLC, granting it designation as a contract
market (DCM). IMX Health is a limited liability company registered in Delaware and
headquartered in Chicago, Illinois.
The CFTC issued the order under Section 5a of the Commodity Exchange Act
(CEA) and CFTC Regulation 38.3(a). The CFTC determined IMX Health
demonstrated its ability to comply with the CEA provisions and CFTC regulations
applicable to DCMs. The terms and conditions of the order require, among other
things, that IMX Health comply with all provisions of the CEA and the CFTC’s
regulations applicable to DCMs.
With the addition of IMX Health, there will be 17 DCMs.
https://www.cftc.gov/PressRoom/PressReleases/8849-24
8. J.P.Morgan 因违反举报人保护规则而被罚款 1800 万美元（2024 年 1 月 16
日）
公司保密协议阻碍客户与 SEC 进行沟通
美国证券交易委员会（SEC）宣布，对 J.P. Morgan Securities LLC （J.P. Morgan）
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