Page 34 - 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
8. 美國期貨業協會要求英國倫敦介紹經紀人 Clarksons Platou Futures Limited
支付 25 萬美元的罰金（2024 年 6 月 20 日）
美國期貨業協會（NFA）要求 Clarksons Platou Futures Limited（Clarksons）
支付 25 萬美元的罰金。Clarksons 是位于英國倫敦的 NFA 介紹經紀人會員。
該決定由 NFA 商業行為委員會（BCC）基于其發布的控告書和 Clarksons 提
交的和解申請作出，Clarksons 在和解申請中既不承認也不否認控告書中的指控。
控告書指控 Clarksons 未能將三名個人注冊為業務人員和 NFA 合伙人，違反了
《NFA 章程》第 301（b）條；未能保持交易前溝通，違反了《NFA 合規規則》
第 2-10（a）條；并且披露機密信息，違反了《NFA 合規規則》第 2-26 條。控告
書還進一步指控 Clarksons 的管理失效，違反了《NFA 合規規則》第 2-9（a）條。
商業行為委員會在其決定中認定 Clarksons 違反了《NFA 章程》第 301（b）
條和《NFA 合規規則》第 2-10 條、第 2-26 條和第 2-9 條。
NFA Orders London, United Kingdom Introducing Broker Clarksons Platou
Futures Limited to Pay a $250,000 Fine (2024/6/20)
NFA has ordered Clarksons Platou Futures Limited (Clarksons) to pay a
$250,000 fine. Clarksons is an introducing broker Member of NFA located in London,
United Kingdom.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on
a Complaint issued by the BCC and a settlement offer submitted by Clarksons, in
which the firm neither admitted nor denied the allegations in the Complaint. The
Complaint charged Clarksons with failing to register three individuals as associated
persons and NFA Associates, in violation of NFA Bylaw 301(b); failing to keep
pre-trade communications, in violation of NFA Compliance Rule 2-10(a); and
disclosing confidential information, in violation of NFA Compliance Rule 2-26. The
Complaint further charged Clarksons with failing to supervise, in violation of NFA
Compliance Rule 2-9(a).
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