Page 511 - 《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
regulations are encouraged to examine their own internal controls and supervision to
ensure they are in compliance.”
Each order finds that the swap dealer and/or FCM in question, for a period of
years, failed to stop its employees, including those at senior levels, from
communicating both internally and externally using unapproved communication
methods, including messages sent via personal text, WhatsApp or Signal. The firms
were required to keep certain of these written communications because they related to
the firms’ businesses as CFTC registrants. The firms generally did not maintain and
preserve these written communications, and therefore could not provide them
promptly to the CFTC when requested.
Each order further finds the widespread use of unapproved communication
methods violated the swap dealers’ and/or FCMs’ internal policies and procedures,
which generally prohibited business-related communication taking place via
unapproved methods. Further, some of the same supervisory personnel responsible for
ensuring compliance with the firms’ policies and procedures themselves used
non-approved methods of communication to engage in business-related
communications, in violation of firm policy.
Case Background
The orders find, with respect to several of the registrants, that DOE became
aware during investigations into certain trading at the institutions that the institutions’
traders had been using unapproved communication methods on their personal devices
for business-related communications. Following a review, each firm acknowledged to
CFTC staff that it was aware of widespread and longstanding use by its employees of
unapproved methods to engage in business-related communications.
As a result of each registrant’s failure to ensure that its employees—including
supervisors and senior-level employees—complied with communications policies and
procedures, each registrant failed to maintain hundreds if not thousands of
business-related communications, including communications in connection with its
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