Page 20 - 期貨和衍生品行業監管動態（2024年9月刊）
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期貨和衍生品行業監管動態
facilities are no longer authorized in the UK.
On February 25, 2019, the CFTC issued a statement in conjunction with the
Bank of England, including the Prudential Regulation Authority, and the Financial
Conduct Authority to provide regulatory certainty on the continuity of derivatives
trading and clearing activities between the UK and the United States. [See CFTC
Press Release No. 7876-19]
The letter announced today extends the positions previously announced in CFTC
Staff Letter No. 22-16. It seeks to maintain the regulatory certainty established when
the CFTC originally acted to issue EU comparability determinations and exemptive
orders for certain EU entities. MPD and DMO continue to believe that maintaining
these no action positions is proper while the CFTC works with the relevant UK
authorities to analyze relevant UK law and, where appropriate, issue UK
comparability determinations and exemptive orders for certain UK entities.
https://www.cftc.gov/PressRoom/PressReleases/8955-24
5. 美國商品期貨交易委員會因 Nasdaq Futures, Inc.違背核心原則、未完全披露
激勵措施及提供虛假和誤導性信息命令其支付 2200 萬美元罰款（2024 年 8 月 29
日）
美國商品期貨交易委員會（CFTC）發布一項命令，對曾是指定合約市場
（DCM）的 Nasdaq Futures, Inc.提出指控并達成和解。該命令發現 Nasdaq Futures,
Inc.未能妥善建立、監控或執行與其在指定合約市場上提供的激勵計劃相關的規
則。命令還發現，Nasdaq Futures, Inc.沒有向 CFTC 或公眾充分披露該激勵計劃
的詳細信息，違反了《美國商品交易法》（CEA）和 CFTC 聯邦法規的要求。此
外，命令發現 Nasdaq Futures, Inc.向 CFTC 作了關于激勵計劃的虛假和誤導性陳
述。該命令要求該公司支付 2200 萬美元的民事罰款。
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