Page 35 - 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

and neither firm generally would have been able to provide them promptly to the

CFTC if and when requested.

Each order further finds the firm-wide use of unapproved communication

methods violated each firm’s internal policies and procedures, which generally

prohibited business-related communication via unapproved methods. Further, some of

the supervisory personnel responsible for ensuring compliance with the firm’s policies

and procedures also used unapproved communication methods to engage in

business-related communications, in violation of firm policy.

Since December 2021, the CFTC has imposed $1.124 billion in civil monetary

penalties on 22 financial institutions for their use of unapproved communication

methods, in violation of CFTC recordkeeping and supervision requirements. [See

CFTC Press Release Nos. 8470-21; 8599-22; 8699-23; 8701-23; 8762-23; 8763-23;

8794-23]

https://www.cftc.gov/PressRoom/PressReleases/8880-24

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