Page 7 - 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

Federal Court Enters Summary Judgment Against Oregon Man and Orders $83

Million in Restitution for Fraud Victims (2024/7/3)...........................................................13

8. 美国期货业协会要求加州某公司及主要负责人退出协会及负责人职位并在 30

个月内不得重新申请（2024 年 7 月 8 日）........................................................................15

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).................................................................................................................. 16

9. 首届聚焦打击“杀猪盘”类加密货币骗局的跨机构会议召开（2024 年 7 月 11 日）

................................................................................................................................................. 17

First Interagency Fraud Disruption Conference Focuses on Combatting Crypto

Schemes Commonly Known as “Pig Butchering” (2024/7/11)..........................................18

10. 美国商品期货交易委员会发布关于全额担保二元期权报告和记录保存规定的

不行动函（2024 年 7 月 12 日）..........................................................................................19

CFTC Staff Issues No-Action Letter Regarding Reporting and Recordkeeping

Requirements for Fully Collateralized Binary Options (2024/7/12)................................ 19

境外资讯——欧盟.................................................................................................................. 21
11. 欧盟证券与市场管理局对中央对手方进行的压力测试表明清算系统具备韧性

（2024 年 7 月 9 日）............................................................................................................21

ESMA’s Stress Test of Central Counterparties Finds Clearing System Resilient

(2024/7/9)................................................................................................................................ 22

12. 欧盟证券与市场管理局发布 2023 年投资公司跨境投资活动数据（2024 年 7 月

15 日）.................................................................................................................................... 24

ESMA Publishes 2023 Data on Cross-border Investment Activity of Firms

(2024/7/15).............................................................................................................................. 25

13. 欧盟证券与市场管理局就《欧盟金融市场工具指引 II》下的投资公司交易指

令执行政策征求意见（2024 年 7 月 16 日）......................................................................26

ESMA Consults on Firms’ Order Execution Policies under MiFID II (2024/7/16)

......................................................................................................................................... 27

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