Page 15 - 期货和衍生品行业监管动态（2025年7月）

期货和衍生品行业监管动态

of an NFA Member. NFA has also ordered Shailendra Revankar (Revankar), the

former sole associated person and principal of Revankar Consultancy, not to apply for

NFA membership, reapply for NFA associate membership, or act or be listed as a

principal of an NFA Member.

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 Revankar

Consultancy and Revankar, in which they neither admitted nor denied the allegations.

The Complaint alleged that Revankar Consultancy and Revankar failed to observe

high standards of commercial honor and just and equitable principles of trade by

failing to prioritize the interests of participants in the pool they operated, in violation

of Compliance Rule 2-4. The Complaint also alleged that Revankar Consultancy

caused the pool to make an improper loan or advance of pool assets, in violation of

NFA Compliance Rule 2-45. Further, the Complaint alleged that Revankar

Consultancy received funds for the purchase of interests in the pool in its name rather

than the pool's name, comingled pool assets and failed to distribute account

statements to pool participants, in violation of NFA Compliance Rule 2-13(a).

In its Decision, the BCC found that Revankar Consultancy and Revankar

committed the violations alleged against them in the Complaint.

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

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3. 美国商品期货交易委员会工作人员延长了关于交易对手方通过豁免衍生品

清算机构清算互换交易不行动函的期限（2025 年 7 月 9 日）

美国商品期货交易委员会（CFTC）市场监管部（DMO）发布不行动函，延

长了 CFTC 工作人员 22-18 号函中针对 CFTC 联邦法规第 45 部分特定互换报告

要求的不行动立场。

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