Page 30 - 期货和衍生品行业监管动态（2025年2月刊）
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期货和衍生品行业监管动态
请作出，Futu 对控告书中的指控既不承认也不否认。BCC 指控 Futu 未能及时向
NFA 提交各种所需的财务报告和通知，违反了《NFA 财务要求》第 1（d）条和
第 1（e）条，并且未能履行监督职责，违反了《NFA 合规规则》2-9（a）。
BCC 同时要求 Futu 停止违反 NFA 财务要求第 1（d）条、第 1（e）条以及
NFA 合规规则 2-9（a）的行为。
NFA Orders Jersey City, NJ Futures Commission Merchant Futu Futures Inc. to
Pay a $100,000 Fine (2025/2/5)
NFA has ordered Futu Futures Inc. (Futu) to pay a $100,000 fine. Futu is an NFA
Member futures commission merchant located in Jersey City, New Jersey.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on
a Complaint issued by the BCC and a settlement offer submitted by Futu, in which the
firm neither admitted nor denied the allegations of the Complaint. The BCC found
that Futu failed to file various required financial reports and notifications timely with
NFA, in violation of NFA Financial Requirements Sections 1(d) and 1(e), and failed to
supervise, in violation of NFA Compliance Rule 2-9(a).
The BCC further ordered Futu to cease and desist from violating NFA Financial
Requirements Sections 1(d) and 1(e) and NFA Compliance Rule 2-9(a).
https://www.nfa.futures.org/newsnotices/newsArticle.aspx?Year=2025&ArticleID=57
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8. 美国商品期货交易委员会发布关于自我报告、合作及整改的执法建议（2025
年 2 月 25 日）
美国商品期货交易委员会（CFTC）执法部发布了一份关于如何评估企业或
个人的自我报告、合作及整改措施的建议，以便在向 CFTC 提出执法处置建议时
使用，并明确了相关考量因素。这是该部门首次使用矩阵（matrix）模式来确定
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