Page 505 - 《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

According to the order, from July 2017 to January 2019, without being registered
with the CFTC, Quantum Financial acted as an introducing broker on behalf of two

overseas, leveraged foreign currency (forex) and leveraged precious metals trading

platforms. The company introduced eight commodity pools comprised of more than

150 U.S. retail customers to the trading platforms, and received compensation from

them. As its controlling person, Gospodarek is liable for those violations.

Additionally, the order finds that from July 2017 to January 2019, without being

registered with the CFTC, Gospodarek acted as an associated person of a commodity

trading advisor (CTA) by assisting the CTA in soliciting customers and engaging in

the business of advising customers as to the advisability of trading in leveraged forex

and leveraged precious metals through webinar appearances, videos, and responses to

individual customer questions on behalf of the CTA. Gospodarek also identified and

formulated leveraged forex and leveraged precious metals trading strategies that he
promoted to customers using the same means.

In accepting the settlement offer from Gospodarek and Quantum Financial, the

CFTC recognizes their substantial cooperation during the Division of Enforcement’s

investigation of this matter.

https://www.cftc.gov/PressRoom/PressReleases/8597-22

4. 美国商品期货交易委员会命令 11 家金融机构因广泛使用未经批准的通信方

式而违反记录保存和监督要求支付罚金超 7.1 亿美元

注册互换交易商和期货佣金商承认使用短信、WhatsApp 和其他未经批准的方式

开展业务（2022 年 9 月 27 日）

美国商品期货交易委员会（CFTC）签发行政令，对 11 家金融机构的附属互

换交易商和期货佣金商（FCM）因未按照 CFTC 的记录保存要求维护、保存或

433 回 到 目 录
回 到 首 页