Page 20 - 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

Division of the Enforcement’s (DOE) investigation), are ordered to cease and desist
from further violations of recordkeeping and supervision requirements, and are

ordered to engage in specified remedial undertakings.

The settling swap dealers and FCMs and their civil monetary penalties are:

 Bank of America (Bank of America, N.A.; BofA Securities, Inc.;

and Merrill Lynch, Pierce, Fenner & Smith Incorporated (which was

registered as an FCM until May 2019 and is currently registered as an

introducing broker)), $100 million

 Barclays (Barclays Bank, PLC and Barclays Capital Inc.), $75

million

 Cantor Fitzgerald (Cantor Fitzgerald & Co.), $6 million

 Citi (Citibank, N.A.; Citigroup Energy Inc.; and Citigroup Global

Markets Inc.), $75 million

 Credit Suisse (Credit Suisse International and Credit Suisse

Securities (USA) LLC), $75 million

 Deutsche Bank (Deutsche Bank AG and Deutsche Bank Securities

Inc.), $75 million

 Goldman Sachs (Goldman Sachs & Co. LLC f/k/a Goldman Sachs

& Co.), $75 million

 Jefferies (Jefferies Financial Services, Inc. and Jefferies LLC), $30

million

 Morgan Stanley (Morgan Stanley & Co. LLC; Morgan Stanley

Capital Services LLC; Morgan Stanley Capital Group Inc.; and Morgan
Stanley Bank, N.A.), $75 million

 Nomura (Nomura Global Financial Products Inc.; Nomura Securities

International, Inc.; and Nomura International PLC), $50 million

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