Page 33 - 期貨和衍生品行業監管動態（2024年8月刊）
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期貨和衍生品行業監管動態
The CFTC established federal speculative position limits for certain
physical-delivery referenced contracts, including the NYMEX Physically Settled West
Texas Intermediate Crude Oil contract (CL). For financially-settled options
referencing the CL contract, applicable positions are determined by converting the
options into their futures equivalents and aggregating those equivalents across a firm’s
various positions.
The order finds on May 17, 2022, Vitol held positions in financially-settled
calendar spread options traded on NYMEX and ICE Futures Energy Division (IFED)
exchanges that referenced the CL contract equivalent to 7,484 CL contracts, 1,484
contracts over the federal speculative limit of 6,000. On May 18, 2022, Vitol held a
position equivalent of 7,091 contracts, 2,091 contracts over that day’s federal
speculative limit of 5,000. On June 15, 2022, Vitol held a position equivalent to 6,074
contracts, 74 contracts over the federal speculative limit of 6,000. And on June 16,
2022, Vitol held a position equivalent to 6,594, 1,594 contracts over that day’s federal
speculative limit of 5,000.
The order also finds on December 5, 2022, Vitol held 771 December 2022 CME
Live Cattle Futures contracts. The position exceeded by 171 the federal spot month
speculative position limit of 600 contracts.
https://www.cftc.gov/PressRoom/PressReleases/8942-24
10. 美國商品期貨交易委員會命令 Truist 銀行支付 300 萬美元罰款并整改與廣泛
使用未經批準的通信方式相關的記錄保存和管理失效問題（2024 年 8 月 14 日）
Truist 因其主動自我報告而得以大幅減輕處罰
美國商品期貨交易委員會（CFTC）發布命令，對北卡羅來納州的互換交易
商 Truist 銀行提起指控并達成和解。命令指出， Truist 未能維護、保存或提供 CFTC
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