Page 740 - 《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

In the FCA’s view, the fines and the bans that it has decided to impose reflect the
serious nature of the breaches set out in the Decision Notices and should act as a

deterrent to other market participants.

There are no other ongoing investigations or actions relating to the trading.

Notes to editors

1. The Decision Notices outline the reasons for the FCA’s actions.

2. Decision Notice for Diego Urra.

3. Decision Notice for Jorge Lopez Gonzalez.

4. Decision Notice for Poojan Sheth.

5. Find out more about decisions made by the Tribunal.

6. “BTP” means Italian Government Bonds, Buoni del Tesoro Poliannuali.

7. BTP Futures are interest-rate futures contracts (i.e. an agreement to buy or

sell at a fixed price), based on a notional BTP with a remaining term of

between 2 years and 11 years. References to BTP Futures in this notice are to

contracts with a remaining term of between 8.5 and 11 years and a 6%

coupon. A BTP Future has a standard €100,000 nominal contract value. One

individual contract is often called a “lot”.

8. Market-makers are firms (or traders within firms) that quote bid and offer

prices in a range of instruments and can act as principal in supplying liquidity

by buying or selling from their own inventory.

https://www.fca.org.uk/news/press-releases/fca-publishes-decision-notices-against-thr

ee-bond-traders-market-manipulation

22. 英国金融行为监管局就三家经纪公司违反监控市场滥用行为的相关规定处

以罚款 4,775,200 英镑（2022 年 12 月 8 日）

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