Page 6 - 期货和衍生品行业监管动态（2025年5月刊）
P. 6

期货和衍生品行业监管动态




                            NFA Orders Chicago, Ill. Futures Commission Merchant NinjaTrader Clearing

                        LLC to Pay a $250,000 Fine (2025/5/29)............................................................................. 10

                       境外资讯——欧盟.................................................................................................................. 12


                            7. 欧盟证券与市场管理局就散户投资者参与路径公开征求意见 以简化和减轻投

                        资者负担（2025 年 5 月 21 日）..........................................................................................12


                            ESMA Asks Input on the Retail Investor Journey as Part of Simplification and

                        Burden Reduction Efforts (2025/5/21).................................................................................13


                            8. 欧盟证券与市场管理局敦促社交媒体公司处理未经许可的金融广告（2025 年 5

                        月 28 日）............................................................................................................................... 14


                            ESMA Urges Social Media Companies to Tackle Unauthorised Financial Ads

                        (2025/5/28).............................................................................................................................. 14


                       中国香港.................................................................................................................................. 16


                            9. 中顺证券期货有限公司因保证金融资业务方面的违规被香港证券及期货事务

                        监察委员会谴责及罚款 200 万元并暂时吊销其负责人员的牌照（2025 年 5 月 12 日）


                            ......................................................................................................................................... 16


                            SFC Reprimands and Fines Sino-Rich Securities & Futures Limited $2 Million

                        and Suspends Its Responsible Officer for Failures in Relation to Margin Lending

                        Practices (2025/5/12)..............................................................................................................17


                            10. 丰富“互换通”产品类型促进中国金融市场高水平对外开放（2025 年 5 月 15 日）

                        ................................................................................................................................................. 18


                            Further Enriching Product Types of Swap Connect to Facilitate High-quality

                        Opening up of Mainland’s Financial Markets (2025/5/15)............................................... 19


                       境内资讯.................................................................................................................................. 21

                        中国人民银行 the People’s Bank of China.................................................................... 21


                            1. 中国人民银行与巴西央行签署金融战略合作谅解备忘录并续签双边本币互换


                                                              2
   1   2   3   4   5   6   7   8   9   10   11