Page 456 - 《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

“Proper recordkeeping is vital to protecting our markets and market participants
from fraud and manipulation,” said CFTC Acting Division of Enforcement

Director Gretchen Lowe. “This case serves as another example of the Commission’s

intent to vigorously enforce the recordkeeping obligations of its registrants.”

Background

Specifically, the order finds that XP failed to maintain certain audio recordings

for dates in May and June 2019, which as a registered introducing broker, it was

required to make and keep for at least one year. This failure occurred after XP

relocated its New York office, which was responsible for maintaining the relevant

audio recording system. The audio recording system was improperly installed at XP’s

new office location by an external vendor, causing the inconsistent and incomplete

recording of audio calls on 25 days. Neither spot checks nor XP’s “heartbeat” outage
warning system detected the error. Only after XP could not find a specific recording,

did it realize that there was an error. Once the error was discovered in June 2019, XP
promptly took steps to remediate the problem.

The unrecorded calls included oral communications provided or received

concerning quotes, solicitations, bids, offers, instructions, trading, and/or prices that

led to the execution of a transaction in a commodity interest and/or related cash or

forward transactions.

https://www.cftc.gov/PressRoom/PressReleases/8591-22

11. 美国商品期货交易委员会命令两家中国公司为洗售交易、违反持仓限额和报

告违规行为支付 72 万美元的费用（2022 年 9 月 23 日）

CFTC 签发行政令，同时对总部位于北京的 COFCO Corp.（COFCO）和

Chinatex Corp.（Chinatex）的洗售交易、违反持仓限额和未按规定报告的行为进

行立案并同时达成和解。

392
回 到 首 页 回 到 目 录