Page 32 - 期货和衍生品行业监管动态（2024年7月刊）

期货和衍生品行业监管动态

该决定由 NFA 商业行为委员会（BBC）作出，基于该委员会提出的控告书

及 Rimar Capital 与 Itai Royi Liptz 提交的和解申请。在这份和解申请中，Rimar

Capital 与 Itai Royi Liptz 对于被指控的行为既未承认也未予以否认。

NFA 商业行为委员会在该决定中指出，Rimar Capital 及负责人 Liptz 未能恪

守商业诚信的高标准和交易公平公正原则，具体表现在处理客户订单之前先行交

易；在与潜在客户的沟通中使用了具有欺骗性和误导性的手段以及未能有效监督

其业务运作及员工行为。此外，商业行为委员会还查明 Rimar Capital 纵容一名

未经注册的个人以业务人员的身份开展活动。

上述控告书和决定内容的全文可在 NFA 官方网站查阅。

NFA Orders California Firm Rimar Capital LLC and Its Principal Itai Royi

Liptz to Withdraw from NFA Membership and Principal Status and Not

Reapply for 30 Months (2024/7/8)

NFA has ordered Rimar Capital LLC (Rimar Capital), an NFA Member

commodity trading advisor located in Burlingame, California, and Itai Royi Liptz

(Liptz), an associated person (AP) and a principal of Rimar Capital and an NFA

Associate, to withdraw from and not reapply for NFA membership and principal
status for 30 months. If either Rimar Capital or Liptz seeks NFA membership or

principal status following the 30-month period, they must pay a $90,000 fine.

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 Rimar Capital and

Liptz, in which they neither admitted nor denied the allegations in the Complaint.

In its Decision, the BCC found that Rimar Capital and Liptz failed to observe

high standards of commercial honor and just and equitable principles of trade by

trading ahead of customer accounts, used deceptive and misleading communications

with potential customers, and failed to supervise its operations and employees. The

BCC also found that Rimar Capital allowed an individual to act as an AP without

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