Page 31 - 期货和衍生品行业监管动态（2022年9月）
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期货和衍生品行业监管动态
直到 XP 找不到具体的音频记录后，才意识到这个错误。2019 年 6 月，XP 在发
现问题后迅速采取了补救措施。
未记录的电话录音包括其提供或收到的，能够引发商品合约和/或有关的现
货或远期交易执行的相关报价、招揽、买价、卖价、指示、交易和/或价格的口
头沟通。
10. CFTC Charges New York Introducing Broker with Failing to Maintain
Required Audio Recordings (2022/9/23)
The Commodity Futures Trading Commission issued an order today
simultaneously filing and settling charges against XP Investments US, LLC (XP), a
New York-based Delaware corporation, with failing to maintain certain records
required to be kept under the Commodity Exchange Act (CEA) and CFTC
regulations.
The order requires XP to pay a $500,000 civil monetary penalty and to cease and
desist from any further violation of the CEA and CFTC regulations as charged.
“Proper recordkeeping is vital to protecting our markets and market participants
from fraud and manipulation, ” said CFTC Acting Division of Enforcement
Director Gretchen Lowe.“This case serves as another example of the Commission’s
intent to vigorously enforce the recordkeeping obligations of its registrants.”
Background
Specifically, the order finds that XP failed to maintain certain audio recordings
for dates in May and June 2019, which as a registered introducing broker, it was
required to make and keep for at least one year. This failure occurred after XP
relocated its New York office, which was responsible for maintaining the relevant
audio recording system. The audio recording system was improperly installed at XP’s
new office location by an external vendor, causing the inconsistent and incomplete
recording of audio calls on 25 days. Neither spot checks nor XP’s “heartbeat”
outage warning system detected the error. Only after XP could not find a specific
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