Page 23 - 期货和衍生品行业监管动态（2025年9月）

期货和衍生品行业监管动态

an internal audit to assess its electronic communications compliance

program with respect to U.S.-based associated persons and addressing any

concerns identified from this audit.

 The Bank of New York Mellon, a registered swap dealer; and BNY Mellon

Securities Corporation, a registered introducing broker (collectively,

BNYM), were cited for violations since 2020. BNYM must also comply

with certain remedial undertakings, including implementing the

recommendations of an independent compliance consultant.

Swap Data Reporting Violations

The final order resolves charges against U.S. Bank, N.A., a registered swap

dealer, for reporting inaccurate swap valuation data to its swap data repository for

various FX products and interest rate swaps from at least 2022 to 2024 because of

errors in its valuation methodology. The firm will pay a $325,000 civil monetary

penalty, which was reduced by the maximum mitigation credit based on its exemplary

self-reporting and exemplary cooperation.

https://www.cftc.gov/PressRoom/PressReleases/9114-25

4. 美国商品期货交易委员会发布关于刑事执法转介的政策声明（2025 年 9 月 5

日）

美国商品期货交易委员会（CFTC）批准一项政策声明，阐述其根据第 14294

号行政令《打击联邦法规中的过度刑事化》处理应负刑事责任的监管违规行为的

计划。

该政策声明告知公众，CFTC 经与司法部部长协商，将向管理和预算办公室

（Office of Management and Budget）主任提交包含以下内容的报告：

 可由 CFTC 或司法部执行的所有刑事违法行为清单

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