Page 547 - 《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

Natural Gas (NG) and Reformulated Blendstock for Oxygenate Blending
Gasoline futures, and Treasury futures.

Recordkeeping and Supervision

 The CFTC found the swap dealer and futures commission merchant

(FCM) affiliates of 12 financial institutions committed recordkeeping and

supervision violations and imposed a total of $796 million in civil monetary

penalties. Specifically, the 12 orders find the swap dealer and/or FCM in

question, for a number 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.

Violations by Registered Entities

 The CFTC found a registered DCM committed multiple violations,

including failure to conduct controls testing and sufficient internal and

external penetration testing; failure to conduct adequate enterprise

technology risk assessments; options and swaps reporting violations; false

statements to the Commission; and violation of a DCM Core Principle that

among other things, contains requirements relating to the reliability, security,

and adequate scalable capacity of operations and automated systems.

 The CFTC found a registered DCM failed to obtain required written

acknowledgment letters from a depository stating the depository was

informed that funds deposited are customer funds being held in accordance

with the Commodity Exchange Act (CEA) and restrict the use of such funds,

among other things.

 The CFTC found a registered SEF failed to comply with the CFTC
15-second delay requirement for certain required transactions on a SEF order

book.

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