Page 36 - 期货和衍生品行业监管动态（2022年10月）
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期货和衍生品行业监管动态
As alleged in the complaint, the Maximus Program purported to offer customers
guaranteed monthly lease payments in exchange for the use of silver purportedly
purchased from Argent or silver owned by customers. Customers were told they
would earn a monthly “lease” payment based on a sliding scale that in part depended
on the amount of silver the Maximus customers leased to Argent. Customers were
falsely told, among other things, that Argent would acquire silver on their behalf, their
silver was securely stored by FSD in a storage facility, and their investments were
guaranteed and fully insured.
In reality, as alleged in the complaint, customers’ precious metals were not
securely stored at FSD, but instead were misappropriated by the defendants.
Moreover, on several occasions, the defendants also misappropriated funds intended
to be used to purchase metals.
As alleged in the complaint, the defendants’ fraudulent scheme was not limited
to the Maximus Program. The defendants misappropriated other client assets and
misled and deceived those clients when they attempted to withdraw their assets or
transfer them to another depository. In addition, the defendants lied about the
insurance coverage FSD maintained and failed to adequately insure its clients’ assets
despite representations and guarantees it made to the contrary.
https://www.cftc.gov/PressRoom/PressReleases/8606-22
10. 美国证券交易委员会通过法规修正案推动证券经纪商保存电子记录方式现
代化，并加强针对基于证券的互换交易实体的电子记录保存要求（2022 年 10 月
12 日）
美国证券交易委员会（SEC）投票通过了适用于证券经纪商、基于证券的互
换交易商（SBSDs）和主要互换参与者（MSBSPs）的电子记录保存、记录及时
生产以及第三方记录保存服务要求的法规修正案。该修正案立足于过去二十年来
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