Page 19 - 期货和衍生品行业监管动态（2022年10月）

期货和衍生品行业监管动态

务相关联系。此外，一些负责确保遵守内部政策和程序的监管人员自己也违反公

司政策，使用未经批准的通信方式进行业务相关的沟通。

案件背景

行政令查明，DOE 在对几家注册实体的某些交易进行调查时发现，这些实

体的交易员在其私人设备上使用未经批准的通信方式进行业务相关联系。经调查，

每家公司都向 CFTC 工作人员承认其知道其员工广泛且长期使用未经批准的方

式进行业务相关联系。

由于各注册实体未能确保包括主管和高级雇员在内的员工遵守相关通信政

策和程序，并且未能保存好数百甚至数千份与业务相关（包括与其商品和互换业

务的有关）的通信记录，未能勤勉地监督其作为 CFTC 注册实体所开展的业务，

违反了 CFTC 记录保存和监督规定。

相关民事诉讼

美国证券交易委员会（SEC）宣布对几家金融机构提出指控并达成和解，并

对相关的记录保存和监督违规行为处以民事罚款。

4. CFTC Orders 11 Financial Institutions to Pay Over $710 Million for

Recordkeeping and Supervision Failures for Widespread Use of Unapproved

Communication Methods

Registered Swap Dealers and FCMs Admit Use of Texts, WhatsApp and Other

Unapproved Methods to Conduct Business (2022/9/27)

The Commodity Futures Trading Commission today issued orders

simultaneously filing and settling charges against swap dealer and futures commission

merchant (FCM) affiliates of 11 financial institutions for failing to maintain, preserve,

or produce records that were required to be kept under CFTC recordkeeping
requirements, and failing to diligently supervise matters related to their businesses as

CFTC registrants.

The settling registrants admit the facts detailed in the orders (with Bank of

America and Nomura neither admitting nor denying certain specific findings of the

9