Page 40 - 期货和衍生品行业监管动态（2025年11月）

期货和衍生品行业监管动态

关于负责人报告的规定，并允许未注册的个人控制 Rimar LP，违反了《NFA 合

规规则》第 2-4 条，未能践行商业信誉的高标准以及公平交易原则。商业行为委

员会还指控 Rimar LP 违反了《NFA 注册规则》第 208 条，未及时向 NFA 报告公

司负责人。听证小组在决定中认定，Rimar LP 与 Gordon 确实存在控告书中所指

控的违规行为。

上述控告书和决定全文可在 NFA 官网查阅。

NFA Orders Former Israel-based Commodity Pool Operator Rimar Capital

Limited Partnership Not to Reapply for NFA Membership (2025/11/24)

NFA has ordered Rimar Capital Limited Partnership (Rimar LP), a former NFA

Member commodity pool operator located in Netanya, Israel, not to reapply for NFA

membership or act as a principal of an NFA Member at any time in the future. NFA

also ordered Ryan Philip Gordon, a prior associated person and principal of Rimar LP

and former NFAAssociate, not to reapply for NFA membership or act as a principal of

an NFA Member for two years and to pay a $75,000 fine if he seeks NFA membership

or principal status following the two-year period.

The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued

by NFA’s Business Conduct Committee (BCC) and a settlement offer submitted by

Rimar LP and Gordon, in which they neither admitted nor denied the allegations in

the Complaint. In the Complaint, the BCC alleged that Rimar LP and Gordon failed to

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

by not adhering to NFA requirements involving reporting principals and by allowing

an unregistered individual to control Rimar LP, in violation of NFA Compliance Rule

2-4. The BCC also alleged that Rimar LP failed to promptly report principals of the

firm to NFA, in violation of NFA Registration Rule 208. In its Decision, the Hearing

Panel found that Rimar LP and Gordon committed the violations alleged against them

in the Complaint.

The complete text of the Complaint and Decision can be viewed on NFA’s

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