Page 454 - 《期货和衍生品行业监管动态》（2022年合集）
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期货和衍生品行业监管动态
The order finds that from approximately April 2018 to approximately June 2021,
Goldline solicited and accepted customers’ orders for leveraged, margined, or
financed precious metals transactions. Retail customers entered into these transactions,
although they were not conducted on a designated contract market or derivatives
transaction execution facility.
The order further finds that in offering the illegal transactions, Goldline engaged
in sales solicitation fraud. Goldline misrepresented the percentage by which its bid
price (i.e., the amount at which Goldline would purchase metals from its customers)
would have to increase before the customers could break-even if they chose to sell
their metal back to Goldline. Goldline then misrepresented that it, rather than a
third-party retail precious metals dealer, would offer to buy back metals that the
customers previously purchased from Goldline. This misrepresentation contradicted
what Goldline told its customers in solicitation materials and customer account
agreements. Goldline’s management knew about these misrepresentations to
customers and did not correct them.
As its principal, A-Mark is liable for Goldline’s violative conduct.
https://www.cftc.gov/PressRoom/PressReleases/8588-22
10. 美国商品期货交易委员会指控纽约介绍经纪人未保存必要的录音资料（2022
年 9 月 23 日）
CFTC 签发行政令，对总部位于纽约特拉华州的公司 XP Investments US, LLC
（XP）未能按照《美国商品交易法》（CEA）和 CFTC 联邦法规的要求保存记
录的行为提起指控并达成和解。
行政令要求 XP 支付 50 万美元民事罚款，并停止任何进一步违反《美国商
品交易法》和 CFTC 联邦法规的行为。
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