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期货和衍生品行业监管动态

The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued

by NFA’s Business Conduct Committee (BCC) and a settlement offer submitted by

NinjaTrader, in which the firm neither admitted nor denied the allegations in the

Complaint. The BCC alleged that NinjaTrader failed to implement an adequate

anti-money laundering program, in violation of NFA Compliance Rule 2-9(c), and

failed to supervise, in violation of NFA Compliance Rule 2-9(a).

In its Decision, the Hearing Panel found that NinjaTrader violated NFA

Compliance Rules 2-9(a) and (c).

https://www.nfa.futures.org/newsnotices/newsArticle.aspx?Year=2025&ArticleID=57

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