Page 34 - 期货和衍生品行业监管动态（2024年3月）

期货和衍生品行业监管动态

一些负责确保公司制度和程序合规的管理人员也使用未经批准的通讯方式进行

与业务相关的沟通，也违反了公司政策。

自 2021 年 12 月以来， CFTC 对 22 家金融机构处以 11.24 亿美元的民事罚款，

原因是它们使用未经批准的通信方式，违反了 CFTC 的记录保存和管理要求。【见

CFTC 新闻稿 8470-21；8599-22；8699-23；8701-23；8762-23；8763-23；8794-23】

CFTC Orders U.S. Bank to Pay $6 Million and Oppenheimer to Pay $1 Million

for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved

Communication Methods (2024/3/19)

The Commodity Futures Trading Commission today issued two orders

simultaneously filing and settling charges against U.S. Bank, N.A., a swap dealer, and

against Oppenheimer & Co., Inc., an introducing broker, for failing to maintain and

preserve records that were required to be kept under CFTC recordkeeping

requirements and failing to diligently supervise matters related to their businesses as

CFTC registrants.

The settling registrants admit the facts detailed in the orders, are ordered to cease

and desist from further violations of recordkeeping and supervision requirements, and

are ordered to comply with specified remedial undertakings.

The orders require U.S. Bank to pay a $6 million civil monetary penalty and

Oppenheimer to pay a $1 million civil monetary penalty.

Background

The orders find from at least 2019 to the present, both U.S. Bank and

Oppenheimer failed to stop employees, including those at senior levels, from

communicating using unapproved communication methods, including messages sent

via personal text. The firms were required to keep certain of these written

communications because they related to the firm’s CFTC-registered businesses. These

written communications generally were not maintained and preserved by either firm,

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