Page 7 - 期貨和衍生品行業監管動態（2024年7月刊）
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期貨和衍生品行業監管動態
Federal Court Enters Summary Judgment Against Oregon Man and Orders $83
Million in Restitution for Fraud Victims (2024/7/3)...........................................................13
8. 美國期貨業協會要求加州某公司及主要負責人退出協會及負責人職位并在 30
個月內不得重新申請（2024 年 7 月 8 日）........................................................................15
NFA Orders California Firm Rimar Capital LLC and Its Principal Itai Royi Liptz
to Withdraw from NFA Membership and Principal Status and Not Reapply for 30
Months (2024/7/8).................................................................................................................. 16
9. 首屆聚焦打擊“殺豬盤”類加密貨幣騙局的跨機構會議召開（2024 年 7 月 11 日）
................................................................................................................................................. 17
First Interagency Fraud Disruption Conference Focuses on Combatting Crypto
Schemes Commonly Known as “Pig Butchering” (2024/7/11)..........................................18
10. 美國商品期貨交易委員會發布關于全額擔保二元期權報告和記錄保存規定的
不行動函（2024 年 7 月 12 日）..........................................................................................19
CFTC Staff Issues No-Action Letter Regarding Reporting and Recordkeeping
Requirements for Fully Collateralized Binary Options (2024/7/12)................................ 19
境外資訊——歐盟.................................................................................................................. 21
11. 歐盟證券與市場管理局對中央對手方進行的壓力測試表明清算系統具備韌性
（2024 年 7 月 9 日）............................................................................................................21
ESMA’s Stress Test of Central Counterparties Finds Clearing System Resilient
(2024/7/9)................................................................................................................................ 22
12. 歐盟證券與市場管理局發布 2023 年投資公司跨境投資活動數據（2024 年 7 月
15 日）.................................................................................................................................... 24
ESMA Publishes 2023 Data on Cross-border Investment Activity of Firms
(2024/7/15).............................................................................................................................. 25
13. 歐盟證券與市場管理局就《歐盟金融市場工具指引 II》下的投資公司交易指
令執行政策征求意見（2024 年 7 月 16 日）......................................................................26
ESMA Consults on Firms’ Order Execution Policies under MiFID II (2024/7/16)
......................................................................................................................................... 27
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