Page 23 - 期货和衍生品行业监管动态（2022年7月）
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期货和衍生品行业监管动态
The order also finds that BNPP also entered into more than 3 million swap
transactions during this period that were incorrectly reported under the CFTC’s rules.
From 2016 to 2018, the swap dealer also failed to correctly report thousands of
bunched trades. Instead of correctly reporting them as allocations of trades, BNPP
reported these transactions as new trades. In addition, from 2016 to 2020, BNPP
incorrectly reported certain commodity swaps. These trades were reported, but were
incorrectly described as equity trades rather than commodity trades. In total,
approximately 3,000 transactions were incorrectly reported in this fashion.
Moreover, during the period 2016 to 2017, as the order finds, BNPP adjusted
daily mark disclosures for 82 swap transactions, which resulted in approximately
19,000 adjusted daily mark disclosures being made to the relevant swap
counterparties, contrary to the requirements of the CEA and CFTC regulations.
In accepting BNPP’s Offer of Settlement, the CFTC recognizes BNPP’s
substantial cooperation during the Division of Enforcement’s investigation of this
matter. The CFTC notes that BNPP’s cooperation and remediation are recognized in
the form of a substantially reduced civil monetary penalty.
https://www.cftc.gov/PressRoom/PressReleases/8552-22
6. 美国商品期货交易委员会命令摩根大通为其互换交易报告违规行为支付 85
万美元 （2022 年 7 月 5 日）
CFTC 签发行政令对临时注册互换交易商摩根大通银行（JPMorgan Chase
Bank，N.A.）、摩根大通证券有限责任公司（J.P. Morgan Securities LLC）和摩
根大通证券股份有限公司（J.P. Morgan Securities, plc）（以上统称为摩根大通，
J.P. Morgan）未能履行其作为互换交易商报告义务的行为进行立案并同时达成和
解。该行政令要求摩根大通支付 85 万美元民事罚款，并要求其停止违反《美国
商品交易法》（CEA）或 CFTC 监管规定的行为。
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