Page 22 - 期货和衍生品行业监管动态（2022年10月）
P. 22
期货和衍生品行业监管动态
non-approved methods of communication to engage in business-related
communications, in violation of firm policy.
Case Background
The orders find, with respect to several of the registrants, that DOE became
aware during investigations into certain trading at the institutions that the institutions’
traders had been using unapproved communication methods on their personal devices
for business-related communications. Following a review, each firm acknowledged to
CFTC staff that it was aware of widespread and longstanding use by its employees of
unapproved methods to engage in business-related communications.
As a result of each registrant’s failure to ensure that its employees—including
supervisors and senior-level employees—complied with communications policies and
procedures, each registrant failed to maintain hundreds if not thousands of
business-related communications, including communications in connection with its
commodities and swaps businesses, and thus failed diligently to supervise its business
as a CFTC registrant or registrants, in violation of CFTC recordkeeping and
supervision provisions.
Related Civil Action
The Securities and Exchange Commission (SEC) today announced entry of
orders filing and settling charges against several financial institutions and imposing
civil monetary penalties for related recordkeeping and supervision violations.
https://www.cftc.gov/PressRoom/PressReleases/8599-22
5. 美国商品期货交易委员会命令 tpSEF 就其在互换交易设施上执行交叉盘交易
时违反 15 秒延迟规则的行为支付罚金 85 万美元（2022 年 9 月 29 日）
12
