Page 21 - 期货和衍生品行业监管动态（2024年8月刊）

期货和衍生品行业监管动态

Section 5h(g) of the Commodity Exchange Act (CEA) provides that the CFTC

may grant such an exemption if it finds that a foreign SEF is subject to comparable,

comprehensive supervision and regulation by the appropriate governmental

authorities in the facility’s home country. Likewise, the CFTC may revoke exempt

status when a facility is no longer authorized and/or in good standing in its home

country.

On March 13, 2019, the CFTC issued an order determining the Monetary

Authority of Singapore (MAS) regulatory framework for approved exchanges (AEs)

and RMOs satisfies the standard in CEA section 5h(g) to exempt a SEF from

registration with the CFTC. [See CFTC Press Release No. 7887-19] Under the order,

MAS agreed to, on an ongoing basis, request such exemptions for facilities meeting

certain legal requirements within Singapore. MAS also agreed to notify the CFTC

when an AE or RMO no longer satisfies those requirements and to request the

non-compliant facility be removed from exempt status.

This amendment brings the total number of exempted AEs and RMOs to 18.

https://www.cftc.gov/PressRoom/PressReleases/8937-24

5. 美国期货业协会永久禁止伊利诺伊州格兰科的商品基金管理人 East West

Global LLC 及其负责人 Luke Adrian 成为其会员以及担任负责人职务（2024 年

8 月 5 日）

美国期货业协会（NFA）已永久禁止位于伊利诺伊州格兰科的前 NFA 会员、

商品基金管理人 East West Global LLC（East West Global）重新申请 NFA 会员资

格，并禁止其担任 NFA 会员的负责人。NFA 还永久禁止 East West Global 的前负

责人兼业务人员 Luke James Adrian（Adrian）申请 NFA 会员或重新申请 NFA 业

务人员会员资格，并禁止其担任 NFA 会员的负责人。

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