Page 510 - 《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

 Credit Suisse (Credit Suisse International and Credit Suisse
Securities (USA) LLC), $75 million

 Deutsche Bank (Deutsche Bank AG and Deutsche Bank Securities

Inc.), $75 million

 Goldman Sachs (Goldman Sachs & Co. LLC f/k/a Goldman Sachs

& Co.), $75 million

 Jefferies (Jefferies Financial Services, Inc. and Jefferies LLC), $30

million

 Morgan Stanley (Morgan Stanley & Co. LLC; Morgan Stanley

Capital Services LLC; Morgan Stanley Capital Group Inc.; and Morgan

Stanley Bank, N.A.), $75 million

 Nomura (Nomura Global Financial Products Inc.; Nomura Securities

International, Inc.; and Nomura International PLC), $50 million

 UBS (UBS AG; UBS Financial Services, Inc.; and UBS Securities

LLC), $75 million

"The Commission’s recordkeeping and supervision requirements ensure the

safety and integrity of the U.S. derivatives markets and protect customers and market

participants,” said Chairman Rostin Behnam. “As demonstrated today, the

Commission will vigorously pursue registrants who fail to comply with their core

regulatory obligations and hold them accountable.”

“Recordkeeping requirements are key to the Commission’s oversight of

registrants and a registrant’s disregard of its obligations threatens the Commission’s

ability to effectively and efficiently conduct examinations and investigations,” said

Acting Director of Enforcement Gretchen Lowe. “The Commission continues to focus

on the importance of recordkeeping, supervision and other regulatory obligations.
Registrants and other market participants subject to the federal commodities laws and

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