Page 21 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2024年8月刊）
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期貨和衍生品行業(yè)監(jiān)管動態(tài)
Section 5h(g) of the Commodity Exchange Act (CEA) provides that the CFTC
may grant such an exemption if it finds that a foreign SEF is subject to comparable,
comprehensive supervision and regulation by the appropriate governmental
authorities in the facility’s home country. Likewise, the CFTC may revoke exempt
status when a facility is no longer authorized and/or in good standing in its home
country.
On March 13, 2019, the CFTC issued an order determining the Monetary
Authority of Singapore (MAS) regulatory framework for approved exchanges (AEs)
and RMOs satisfies the standard in CEA section 5h(g) to exempt a SEF from
registration with the CFTC. [See CFTC Press Release No. 7887-19] Under the order,
MAS agreed to, on an ongoing basis, request such exemptions for facilities meeting
certain legal requirements within Singapore. MAS also agreed to notify the CFTC
when an AE or RMO no longer satisfies those requirements and to request the
non-compliant facility be removed from exempt status.
This amendment brings the total number of exempted AEs and RMOs to 18.
https://www.cftc.gov/PressRoom/PressReleases/8937-24
5. 美國期貨業(yè)協(xié)會永久禁止伊利諾伊州格蘭科的商品基金管理人 East West
Global LLC 及其負責(zé)人 Luke Adrian 成為其會員以及擔任負責(zé)人職務(wù)（2024 年
8 月 5 日）
美國期貨業(yè)協(xié)會（NFA）已永久禁止位于伊利諾伊州格蘭科的前 NFA 會員、
商品基金管理人 East West Global LLC（East West Global）重新申請 NFA 會員資
格，并禁止其擔任 NFA 會員的負責(zé)人。NFA 還永久禁止 East West Global 的前負
責(zé)人兼業(yè)務(wù)人員 Luke James Adrian（Adrian）申請 NFA 會員或重新申請 NFA 業(yè)
務(wù)人員會員資格，并禁止其擔任 NFA 會員的負責(zé)人。
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