Page 23 - 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

The BCC’s Complaint alleged that East West Global and Adrian violated NFA

Compliance Rules 2-2(a), 2-4, 2-29(a) and 2-29(b) by engaging in a deceptive course

of conduct involving a commodity pool they operated, called iFund Diversified I,

LLC (the Fund). The Complaint alleged East West Global and Adrian made material

changes to the Fund that involved how the firm and Adrian used participants’

retirement funds, and which changed the entire tenor of the investment, but failed to

adequately disclose the changes and their consequences to participants and failed to

act in participants’ best interests. The Complaint further alleges that East West Global

and Adrian misled participants to believe they would receive their initial investments

back, despite a substantial shortfall in the Fund, and used deceptive and misleading

communications and promotional materials.

The complete text of the Complaint and Decision can be viewed on NFA’s

website.

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5671

6. 美国商品期货交易委员会批准建立数据报告技术标准的联合规则草案（2024

年 8 月 8 日）

美国商品期货交易委员会（CFTC）投票通过了一项与其他金融监管机构联

合提出的规则草案，并就建立数据报告技术标准向公众征求意见。该草案旨在为

向 CFTC、货币监理署、美国联邦储备委员会、联邦存款保险公司、国家信用合

作社管理局、消费者金融保护局、联邦住房金融局、美国证券交易委员会和财政

部报告的信息设立统一的数据标准。该草案还将为这些金融监管机构为金融稳定

监督委员会收集的数据建立统一数据标准。

该草案的意见征集期为《联邦公报》公布后的 60 日。

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