Page 34 - 期货和衍生品行业监管动态（2024年6月刊）
P. 34
期货和衍生品行业监管动态
8. 美国期货业协会要求英国伦敦介绍经纪人 Clarksons Platou Futures Limited
支付 25 万美元的罚金（2024 年 6 月 20 日）
美国期货业协会（NFA）要求 Clarksons Platou Futures Limited（Clarksons）
支付 25 万美元的罚金。Clarksons 是位于英国伦敦的 NFA 介绍经纪人会员。
该决定由 NFA 商业行为委员会（BCC）基于其发布的控告书和 Clarksons 提
交的和解申请作出，Clarksons 在和解申请中既不承认也不否认控告书中的指控。
控告书指控 Clarksons 未能将三名个人注册为业务人员和 NFA 合伙人，违反了
《NFA 章程》第 301（b）条；未能保持交易前沟通，违反了《NFA 合规规则》
第 2-10（a）条；并且披露机密信息，违反了《NFA 合规规则》第 2-26 条。控告
书还进一步指控 Clarksons 的管理失效，违反了《NFA 合规规则》第 2-9（a）条。
商业行为委员会在其决定中认定 Clarksons 违反了《NFA 章程》第 301（b）
条和《NFA 合规规则》第 2-10 条、第 2-26 条和第 2-9 条。
NFA Orders London, United Kingdom Introducing Broker Clarksons Platou
Futures Limited to Pay a $250,000 Fine (2024/6/20)
NFA has ordered Clarksons Platou Futures Limited (Clarksons) to pay a
$250,000 fine. Clarksons is an introducing broker Member of NFA located in London,
United Kingdom.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on
a Complaint issued by the BCC and a settlement offer submitted by Clarksons, in
which the firm neither admitted nor denied the allegations in the Complaint. The
Complaint charged Clarksons with failing to register three individuals as associated
persons and NFA Associates, in violation of NFA Bylaw 301(b); failing to keep
pre-trade communications, in violation of NFA Compliance Rule 2-10(a); and
disclosing confidential information, in violation of NFA Compliance Rule 2-26. The
Complaint further charged Clarksons with failing to supervise, in violation of NFA
Compliance Rule 2-9(a).
20
