Page 23 - 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)
The BCC’s Complaint alleged that East West Global and Adrian violated NFA
Compliance Rules 2-2(a), 2-4, 2-29(a) and 2-29(b) by engaging in a deceptive course
of conduct involving a commodity pool they operated, called iFund Diversified I,
LLC (the Fund). The Complaint alleged East West Global and Adrian made material
changes to the Fund that involved how the firm and Adrian used participants’
retirement funds, and which changed the entire tenor of the investment, but failed to
adequately disclose the changes and their consequences to participants and failed to
act in participants’ best interests. The Complaint further alleges that East West Global
and Adrian misled participants to believe they would receive their initial investments
back, despite a substantial shortfall in the Fund, and used deceptive and misleading
communications and promotional materials.
The complete text of the Complaint and Decision can be viewed on NFA’s
website.
https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5671
6. 美國商品期貨交易委員會批準(zhǔn)建立數(shù)據(jù)報告技術(shù)標(biāo)準(zhǔn)的聯(lián)合規(guī)則草案（2024
年 8 月 8 日）
美國商品期貨交易委員會（CFTC）投票通過了一項與其他金融監(jiān)管機(jī)構(gòu)聯(lián)
合提出的規(guī)則草案，并就建立數(shù)據(jù)報告技術(shù)標(biāo)準(zhǔn)向公眾征求意見。該草案旨在為
向 CFTC、貨幣監(jiān)理署、美國聯(lián)邦儲備委員會、聯(lián)邦存款保險公司、國家信用合
作社管理局、消費(fèi)者金融保護(hù)局、聯(lián)邦住房金融局、美國證券交易委員會和財政
部報告的信息設(shè)立統(tǒng)一的數(shù)據(jù)標(biāo)準(zhǔn)。該草案還將為這些金融監(jiān)管機(jī)構(gòu)為金融穩(wěn)定
監(jiān)督委員會收集的數(shù)據(jù)建立統(tǒng)一數(shù)據(jù)標(biāo)準(zhǔn)。
該草案的意見征集期為《聯(lián)邦公報》公布后的 60 日。
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