Page 8 - 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
NFA Orders Florida Firm Trinity Trading Group LLC and Its Principal Not to
Reapply for NFA Membership and Principal Status (2024/9/19)..................................... 24
13. 美國商品期貨交易委員會批準關于自愿碳信用衍生品合約上市的最終指導意
見（2024 年 9 月 20 日）.......................................................................................................25
CFTC Approves Final Guidance Regarding the Listing of Voluntary Carbon
Credit Derivative Contracts (2024/9/20)..............................................................................26
14. 紐約居民因進行外匯和數字資產欺詐被聯邦法院命令支付超過 3600 萬美元
（2024 年 9 月 20 日）...........................................................................................................27
Federal Court Orders New York Man to Pay Over $36 Million for Forex and
Digital Asset Fraud (2024/9/20)............................................................................................ 28
15. 美國商品期貨交易委員會工作人員將關于資本和財務報告的臨時不行動函擴
展至歐盟和英國的特定非銀行互換交易商（2024 年 9 月 20 日）..................................29
CFTC Staff Extends Temporary No-Action Letter Regarding Capital and
Financial Reporting for Certain Non-U.S. Nonbank Swap Dealers Domiciled in the EU
and the UK (2024/9/20)..........................................................................................................30
境外資訊——歐盟...................................................................................................................32
16. 歐盟監管當局警告經濟和地緣政治事件帶來的風險（2024 年 9 月 10 日）...32
ESAs Warn of Risks from Economic and Geopolitical Events（2024/9/10）.........33
境外資訊——英國...................................................................................................................35
17. 英國金融行為監管局的進步表現有望助力英國金融部門蓬勃發展（2024 年 9
月 5 日）..................................................................................................................................35
FCA’s Improved Performance Set to Help UK Finance Sector Thrive (2024/9/5).....
..........................................................................................................................................36
境內資訊...................................................................................................................................40
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