Page 25 - 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
order finds that the agreements contained provisions that impeded clients from
reporting potential securities law violations to the SEC by permitting communications
only where the SEC first initiated an inquiry. As described in the order, some of the
agreements further required the clients to represent that they had not reported the
underlying dispute to the SEC or to another securities regulator and would forever
refrain from such reporting.
“Pure and simple, investors need to be able to report complaints or evidence of
wrongdoing to the SEC without impediment,” said Corey Schuster, Co-Chief of the
Enforcement Division’s Asset Management Unit. “We will continue to hold firms
accountable for putting roadblocks between us and their investors.”
The SEC’s order finds that Nationwide, NPA, and Blue Point each violated Rule
21F-17(a) under the Securities Exchange Act of 1934, a whistleblower protection rule
that prohibits taking any action to impede an individual from communicating directly
with SEC staff about possible securities law violations. Without admitting or denying
the SEC’s findings, Nationwide, NPA, and Blue Point each agreed to be censured and
to cease and desist from violating the whistleblower protection rule. They further
agreed to a combined penalty, which was apportioned according to their relative size
and financial condition, with NPA agreeing to pay $160,000, Nationwide $70,000,
and Blue Point $10,000.
https://www.sec.gov/newsroom/press-releases/2024-115
7. 美國商品期貨交易委員會因 Uniswap Labs 非法開展數字資產衍生品交易對
其提起指控（2024 年 9 月 4 日）
美國商品期貨交易委員會（CFTC）發布了一項命令，對注冊于特拉華州但
總部位于紐約的 Universal Navigation Inc.（即 Uniswap Labs）提起指控并達成和
解。這是 CFTC 在數字資產去中心化金融（DeFi）領域持續執法工作的一部分。
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