Page 17 - 期货和衍生品行业监管动态（2024年6月刊）

期货和衍生品行业监管动态

境外资讯——美国

2. 美国期货业协会要求英国伦敦介绍经纪人 Sigma Broking Limited 支付 15 万

美元罚金（2024 年 5 月 28 日）

美国期货业协会（NFA）要求介绍经纪人 Sigma Broking Limited（Sigma

Broking）支付 15 万美元罚金。Sigma Broking 是位于英国伦敦的 NFA 介绍经纪

人会员。

该决定由 NFA 听证小组（Hearing Panel）基于 NFA 商业行为委员会发出的

控告书以及 Sigma Broking 提交的和解申请做出，Sigma Broking 在和解申请中既

不承认也不否认控告书中的指控。

听证小组认定 Sigma Broking 未能进行年度反洗钱审计，违反了《NFA 合规
规则》第 2-9(c)条；未能保持交易前沟通记录易于访问，违反了《NFA 合规规则》

第 2-10(a)条；并且未能进行管理，违反了《NFA 合规规则》第 2-9(a)条。

NFA Orders London, United Kingdom Introducing Broker Sigma Broking

Limited to Pay a $150,000 Fine (2024/5/28)

NFA has ordered Sigma Broking Limited (Sigma Broking) to pay a $150,000

fine. Sigma Broking is an introducing broker Member of NFA located in London,

United Kingdom.

The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued

by NFA’s Business Conduct Committee and a settlement offer submitted by Sigma

Broking, in which the firm neither admitted nor denied the allegations in the

Complaint.

In its Decision, the Hearing Panel found that Sigma Broking failed to conduct

annual anti–money laundering audits, in violation of NFA Compliance Rule 2–9(c);

failed to keep written pre–trade communications readily accessible, in violation of

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