Page 62 - 期货和衍生品行业监管动态（2022年12月）

期货和衍生品行业监管动态

1. 《决定通知》说明了 FCA 行动的原因。

2. 关于 Diego Urra 的决定通知。Decision Notice for Diego Urra.

3. 关于 Jorge Lopez Gonzalez 的决定通知。Decision Notice for Jorge Lopez

Gonzalez.

4. 关于 Poojan Sheth 的决定通知。Decision Notice for Poojan Sheth.

5. 查询更多法庭作出的决定。the Tribunal.

6. “BTP”指意大利政府债券：Buoni del Tesoro Poliannuali

7. BTP 期货是基于剩余期限为 2 年至 11 年的名义 BTP 的利率期货合约（即

以固定价格买入或卖出的协议）。本通知中提到的 BTP 期货是指剩余期

限在 8.5 至 11 年之间、票面利率为 6%的合约。一个 BTP 期货的标准合

约价值为 100,000 欧元。一份单独的合约通常被称为 "手"。

8. 做市商是指对一系列金融工具的买卖价格进行报价的公司（或公司内的

交易员），并可以以自己名义通过其自有的持仓买卖来提供流动性。

FCA Publishes Decision Notices Against Three Bond Traders for Market

Manipulation (2022/12/7)

The FCA has published Decision Notices given to Diego Urra, Jorge Lopez

Gonzalez and Poojan Sheth, three bond traders, for market abuse.

The FCA has decided to ban Mr Urra, Mr Lopez Gonzalez and Mr Sheth from

performing any functions in relation to regulated activity. The FCA has also imposed

fines of £395,000 on Mr Urra and £100,000 each on Mr Lopez Gonzalez and Mr

Sheth.

The traders, who worked at Mizuho International Plc at the time, have referred
the Decision Notices to the Upper Tribunal where they and the FCA will each present

their cases.

The Tribunal will then determine what, if any, is the appropriate action for the

FCA to take, and will remit the matter to the FCA with such direction as the Tribunal

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