Page 17 - 期货和衍生品行业监管动态（2025年8月）

期货和衍生品行业监管动态

to adequately disclose fees to customers prior to the commencement of trading, in

violation of NFA Compliance Rule 2-4. Lastly, the Complaint alleged that Traders

Edge failed to diligently supervise the firm's operations and employees, in violation of

NFA Compliance Rule 2-9(a).

In its Decision, the Hearing Panel found that Traders Edge violated NFA

Compliance Rules 2-2(a), 2-4, 2-9(a), 2-29(a)(1), 2-29(b)(1), 2-29(b)(3) and

2-29(b)(5).

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

55

3. 美国商品期货交易委员会工作人员发布关于互换数据错误纠正通知要求的

不行动函（2025 年 7 月 31 日）

美国商品期货交易委员会（CFTC）市场监管部针对报告方未能对于互换数

据错误提交更正通知采取不行动立场，前提是当报告方最初发现并评估错误影响

时，其合理判断受该错误影响的可报告交易数量不超过该报告方作为报告主体的

相关资产类别未平仓互换合约总量的 5%。

CFTC Staff Issues No-Action Letter Regarding Swap Data Error Correction

Notification Requirements (2025/7/31)

The Commodity Futures Trading Commission’s Division of Market Oversight

today has taken a no-action position with respect to reporting counterparties that fail

to submit a swap data error correction notification with respect to an error if, at the

time the reporting counterparty initially discovers and assesses the impact of an error;

the reporting counterparty makes a reasonable determination that the number of

reportable trades affected by the error does not exceed five percent of the reporting

counterparty’s open swaps for the relevant asset class in swaps for which it was the

3