Page 22 - 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
pricing display issue that affected certain customers, using deficient promotional
material, and failing to supervise, in violation of NFA Compliance Rules
2-36(c), 2-36(g) and 2-36(e), respectively.
In its Decision, the BCC found that OANDA violated NFA Financial
Requirements Sections 11(a), 11(c) and 12(a), and NFA Compliance Rules 2-36(c),
2-36(g) and 2-36(e). The BCC also ordered OANDA to pay restitution to certain
customers, in addition to the monetary fine.
https://www.nfa.futures.org/newsnotices/newsArticle.aspx?Year=2025&ArticleID=57
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6. 美国期货业协会要求伊利诺伊州芝加哥期货经纪商 NinjaTrader Clearing
LLC 支付 25 万美元罚金（2025 年 5 月 29 日）
美国期货业协会（NFA）要求其会员 NinjaTrader Clearing LLC （NinjaTrader）
支付 25 万美元罚金，NinjaTrader 是伊利诺伊州芝加哥的期货经纪商。
该决定由 NFA 听证小组根据 NFA 商业行为委员会（BCC）提出的控告书及
NinjaTrader 提交的和解申请作出，NinjaTrader 在和解申请中既不承认也不否认
控告书中的指控。商业行为委员会指控 NinjaTrader 未能充分执行反洗钱计划，
违反《NFA 合规规则》第 2-9(c)条，且未能履行监督职责，违反《NFA 合规规则》
第 2-9(a)条。
听证小组在其决定中认定，NinjaTrader 违反了《NFA 合规规则》第 2-9(a)、
(c)条。
NFA Orders Chicago, Ill. Futures Commission Merchant NinjaTrader Clearing
LLC to Pay a $250,000 Fine (2025/5/29)
NFA has ordered NinjaTrader Clearing LLC (NinjaTrader) to pay a $250,000
fine. NinjaTrader is an NFA Member futures commission merchant in Chicago, Ill.
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