Page 36 - 期货和衍生品行业监管动态（2025年11月）
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期货和衍生品行业监管动态
NFA has ordered Oil Brokerage Limited (Oil Brokerage) to pay a $290,000 fine.
Oil Brokerage is an NFA Member introducing broker located in London, U.K.
The Decision, issued by NFA’s Business Conduct Committee (Committee), is
based on a Complaint issued by the Committee and a settlement offer submitted by
Oil Brokerage, in which the firm neither admitted nor denied the allegations in the
Complaint.
In its Decision, the Committee found that Oil Brokerage allowed individuals to
solicit and/or accept orders from customers located in the U.S. without being NFA
Associates and registered with the CFTC as associated persons of the firm, in
violation of NFA Bylaw 301(b). The Committee also found Oil Brokerage failed to
supervise, in violation of NFA Compliance Rule 2-9(a).
The complete text of the Complaint and Decision can be viewed on NFA’s
website.
https://www.nfa.futures.org/newsnotices/newsArticle.aspx?Year=2025&ArticleID=57
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9. 美国证券交易委员会检查办公室公布 2026 年度工作重点（2025 年 11 月 17
日）
美国证券交易委员会（SEC）检查办公室发布 2026 财年检查重点清单。该
办公室每年公布检查工作重点，旨在向注册机构及投资者公开披露新财年重点关
注领域，并引导机构将合规资源集中于潜在风险较高的环节。
SEC 主席 Paul S. Atkins 表示：“检查工作是实现 SEC 使命的重要环节，但
不应成为‘猫抓老鼠’式的行动，此次公布的检查工作重点将帮助机构做好准备，
与检查人员开展建设性对话，并增强 SEC 最具公众影响力部门的透明度。”
该办公室负责对 SEC 注册的投资顾问、投资公司、经纪交易商、清算机构
20
