Page 290 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

没收 710,828.14 美元违法所得，并将其支付给受影响的客户作为款项抵扣，以及

支付 300,000 美元民事罚款。

案件背景

根据行政令，大约从 2015 年 1 月至 2021 年 12 月期间，nteractive Brokers LLC
I

未能确保其员工准确评估客户交易所发生的交易所费用。具体而言，Interactive

Brokers LLC 未能对交易所费用表进行必要的修正，因此向进行特定价差交易

（spread trades）的客户收取了适用于投机交易的非会员交易所费用。尽管

Interactive Brokers LLC 向客户收取了更高的费用，但它向交易所支付的是适用于

价差交易的较低费用。因此，Interactive Brokers LLC 向客户多收了 710,828.14

美元。Interactive Brokers LLC 表示，在确认现有客户被多收费的情况下，将退还

I
多余的费用。nteractive Brokers LLC 还通知了此前受影响的客户如何获得他们被

多收的费用。

CFTC Orders Interactive Brokers LLC to Pay Over $1 Million for Supervision

Failures (2022/6/30)

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges againstInteractive Brokers LLC, a

registered futures commission merchant, for failing to diligently supervise its

employees’ handling of exchange fees charged to customers. The order requires

Interactive Brokers to cease and desist from violating the CFTC regulation addressing

supervision, pay $710,828.14 in disgorgement with credit for money paid to affected

customers, and pay a $300,000 civil monetary penalty.

Case Background

According to the order, from approximately January 2015 to December 2021,

Interactive Brokers failed to ensure that its employees accurately assessed exchange

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