成人精品视频在线观看完整版,国产欧美日韩一区二区三区在线,精品日产一区二区

 

 

 

 

 

Page 30 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)(2024年8月刊)
P. 30

期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)




                        CMS 的客戶主要是旨在對(duì)沖風(fēng)險(xiǎn)的丙烷零售商。在典型的交易中,CMS 會(huì)

                   根據(jù)客戶的要求聯(lián)系兩到三個(gè)潛在對(duì)手方進(jìn)行報(bào)價(jià)。CMS 代表其客戶與對(duì)手方

                   進(jìn)行談判。如果客戶認(rèn)為報(bào)價(jià)可以接受,CMS 便代表客戶執(zhí)行互換合約或期權(quán)

                   交易。


                   CFTC Orders Texas Company to Pay $100,000 for Failing to Register as an

                   Introducing Broker (2024/8/12)


                        The Commodity Futures Trading Commission today issued an order

                   simultaneously filing and settling charges against Cost Management Solutions, LLC

                   (CMS), a Texas corporation. The order finds the respondent failed to register as an

                   Introducing Broker (IB) and requires CMS to pay a $100,000 civil monetary penalty.

                   The CFTC also orders CMS to cease and desist from further violating the CEA, as

                   charged.


                        Case Background


                        The order finds from at least May 2018 through the present, CMS acted as an

                   unregistered IB by soliciting and accepting orders for swap and options transactions

                   for its clients. CMS mainly brokered transactions in energy commodities, including

                   propane, heating oil, and crude oil. CMS’s IB activities included: identifying


                   counterparties; price discovery; negotiating trades; and trade execution. CMS did not

                   accept any money, securities, or property to margin, guarantee, or secure these

                   transactions. CMS received fees from its clients for its brokerage services.


                        CMS’ clients were primarily propane retailers interested in hedging risk. In a

                   typical transaction, at its client’s behest, CMS contacted two to three potential

                   counterparties for a quote. CMS negotiated on behalf of its client with the

                   counterparties. If the client determined the quote was acceptable, CMS then executed

                   the swap agreement or option transaction on behalf of the client.


                   https://www.cftc.gov/PressRoom/PressReleases/8941-24




                                                             17
   25   26   27   28   29   30   31   32   33   34   35

 

 

 

 

 

<th id="iv711"></th>
    • <strike id="iv711"><progress id="iv711"></progress></strike>

      1. 主站蜘蛛池模板: 宁武县| 衡阳县| 丹寨县| 桃江县| 大姚县| 永福县| 涟水县| 防城港市| 临城县| 象州县| 渝中区| 尤溪县| 灌阳县| 中卫市| 芜湖县| 乐至县| 台前县| 噶尔县| 汶川县| 会宁县| 南投县| 禄丰县| 同德县| 新泰市| 新疆| 惠州市| 胶南市| 沂水县| 嘉禾县| 那曲县| 乌兰浩特市| 湖州市| 西青区| 平和县| 公主岭市| 广河县| 吐鲁番市| 民和| 杨浦区| 宝清县| 淳安县|