Page 35 - 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

了内部调查，发现了潜在的违规行为，并迅速将这些事实报告给 CFTC。Truist

在 CFTC 调查中进行了实质性合作，包括扩大和分享其抽样分析结果。Truist 表

示，其正在加强纪律政策，并继续开展在自我报告时已开始的整改工作。

CFTC Orders Truist Bank to Pay $3 Million Penalty and Remediate

Recordkeeping and Supervision Failures Relating to Widespread Use of

Unapproved Communications Methods（2024/8/14）

Truist Receives Substantially Reduced Penalty for Self-Reporting to the

Division of Enforcement

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges against North Carolina swap dealer Truist

Bank. The order finds Truist failed to maintain, preserve, or produce records required

to be kept under CFTC recordkeeping requirements. Truist also failed to diligently

supervise matters related to its business as a CFTC swap dealer.

Truist admits the facts detailed in the order, is ordered to cease and desist from

further violations of recordkeeping and supervision requirements, is ordered to pay a

$3 million civil monetary penalty, and is ordered to engage in specific remedial

undertakings.

Truist self-reported it proactively conducted a review of the use of unapproved

communications methods by its employees. The review demonstrated widespread and

longstanding use of unapproved communication methods by swap dealer

employees—including senior-level employees—to engage in firm business. The order

recognizes Truist’s self-report, its substantial cooperation with the Division of

Enforcement’s investigation, and remediation in the form of a substantially reduced

penalty.

“In responding to an industry-wide and consequential problem, Truist set itself

apart from the more than 20 other registrants the CFTC brought actions against for

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