Page 17 - 期貨和衍生品行業監管動態（2024年6月刊）
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期貨和衍生品行業監管動態
境外資訊——美國
2. 美國期貨業協會要求英國倫敦介紹經紀人 Sigma Broking Limited 支付 15 萬
美元罰金（2024 年 5 月 28 日）
美國期貨業協會（NFA）要求介紹經紀人 Sigma Broking Limited（Sigma
Broking）支付 15 萬美元罰金。Sigma Broking 是位于英國倫敦的 NFA 介紹經紀
人會員。
該決定由 NFA 聽證小組（Hearing Panel）基于 NFA 商業行為委員會發出的
控告書以及 Sigma Broking 提交的和解申請做出，Sigma Broking 在和解申請中既
不承認也不否認控告書中的指控。
聽證小組認定 Sigma Broking 未能進行年度反洗錢審計，違反了《NFA 合規
規則》第 2-9(c)條；未能保持交易前溝通記錄易于訪問，違反了《NFA 合規規則》
第 2-10(a)條；并且未能進行管理，違反了《NFA 合規規則》第 2-9(a)條。
NFA Orders London, United Kingdom Introducing Broker Sigma Broking
Limited to Pay a $150,000 Fine (2024/5/28)
NFA has ordered Sigma Broking Limited (Sigma Broking) to pay a $150,000
fine. Sigma Broking is an introducing broker Member of NFA located in London,
United Kingdom.
The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued
by NFA’s Business Conduct Committee and a settlement offer submitted by Sigma
Broking, in which the firm neither admitted nor denied the allegations in the
Complaint.
In its Decision, the Hearing Panel found that Sigma Broking failed to conduct
annual anti–money laundering audits, in violation of NFA Compliance Rule 2–9(c);
failed to keep written pre–trade communications readily accessible, in violation of
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