Page 40 - 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

Member commodity pool operator located in Rio Grande, Puerto Rico, and Anthony

Robert Emtman, a principal and associated person of Ikigai Strategic, to jointly pay a

$150,000 fine.

The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued

by NFA's Business Conduct Committee (BCC) and a settlement offer submitted by

Ikigai Strategic and Emtman, in which they neither admitted nor denied the

allegations in the Complaint.

In its Decision, the Hearing Panel found that Ikigai Strategic and Emtman

committed the alleged violations set forth in the Complaint. Among other things, the

Complaint alleged that Ikigai Strategic permitted one of the pools the firm operates to

make a prohibited advance of pool assets to an affiliate that Emtman and another

Ikigai Strategic principal own. The Complaint also alleged that the firm and Emtman

acted contrary to high standards of commercial honor and just and equitable principles

of trade regarding the prohibited advance by engaging in conduct that placed the

firm's and Emtman's interests above their obligations to the pool and its participants.

Further, the Complaint alleged that Ikigai Strategic commingled pool funds with the

assets of another pool, failed to provide necessary disclosures to pool participants and

failed to comply with recordkeeping and reporting obligations. Finally, the Complaint
alleged that Ikigai Strategic and Emtman failed to supervise the firm's operations and

its employees.

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5676

13. 美国商品期货交易委员会工作人员发布针对欧盟和英国的衍生品清算机构

的不行动函，涉及适用于衍生品清算机构的具体要求（2024 年 8 月 23 日）

美国商品期货交易委员会（CFTC）的清算和风险部（DCR）发布了一封不

行动函，旨在解决相关 CFTC 联邦法规对位于欧盟（EU）或英国（UK）的注册

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