Page 21 - 期货和衍生品行业监管动态（2025年5月刊）
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期货和衍生品行业监管动态
BCC 还指控 OANDA 未能就某些交易向客户收取正确的保证金，进一步违
反了《NFA 财务要求》第 12(a)条；由于价格显示问题影响某些客户，从而违反
了公正公平原则；使用的宣传材料存在缺陷；以及未能履行监督职责，分别违反
了《NFA 合规规则》第 2-36(c)、2-36(g)和 2-36(e)条。
在其决定中，BCC 认定 OANDA 违反了《NFA 财务要求》第 11(a)、11(c)
和 12(a)条，以及《NFA 合规规则》第 2-36(c)、2-36(g)和 2-36(e)条。除罚金外，
BCC 还要求 OANDA 向某些客户进行赔偿。
NFA Orders New York, N.Y. Retail Foreign Exchange Dealer OANDA
Corporation to Pay a $600,000 Fine (2025/5/29)
NFA has ordered OANDA Corporation (OANDA), an NFA Member retail
foreign exchange (forex) dealer and futures commission merchant headquartered in
New York, N.Y., to pay a $600,000 fine.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on
a Complaintissued by the BCC and a settlement offer submitted by OANDA, in which
the firm neither admitted nor denied the allegations in the Complaint.
The BCC charged OANDA with failing to increase the firm's net capital by 10%
of all liabilities owed to an eligible contract participant counterparty, improperly
offsetting the foreign currency exposure on transactions executed with an affiliate to
determine net capital positions and required capital deductions, and failing to collect
required security deposits from an affiliate on its forex transactions with the firm,
which resulted in OANDA failing to maintain minimum net capital. As a result, the
BCC charged OANDA with violations of NFA Financial Requirements Sections
11(a), 11(c) and 12(a).
The BCC also charged OANDA with failing to collect the correct security
deposits from customers for certain transactions, in further violation of NFA Financial
Requirements Section 12(a), failing to observe just and equitable principles due to a
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