Page 20 - 期货和衍生品行业监管动态（2024年9月刊）

期货和衍生品行业监管动态

facilities are no longer authorized in the UK.

On February 25, 2019, the CFTC issued a statement in conjunction with the

Bank of England, including the Prudential Regulation Authority, and the Financial

Conduct Authority to provide regulatory certainty on the continuity of derivatives

trading and clearing activities between the UK and the United States. [See CFTC

Press Release No. 7876-19]

The letter announced today extends the positions previously announced in CFTC

Staff Letter No. 22-16. It seeks to maintain the regulatory certainty established when

the CFTC originally acted to issue EU comparability determinations and exemptive

orders for certain EU entities. MPD and DMO continue to believe that maintaining

these no action positions is proper while the CFTC works with the relevant UK

authorities to analyze relevant UK law and, where appropriate, issue UK

comparability determinations and exemptive orders for certain UK entities.

https://www.cftc.gov/PressRoom/PressReleases/8955-24

5. 美国商品期货交易委员会因 Nasdaq Futures, Inc.违背核心原则、未完全披露

激励措施及提供虚假和误导性信息命令其支付 2200 万美元罚款（2024 年 8 月 29

日）

美国商品期货交易委员会（CFTC）发布一项命令，对曾是指定合约市场

（DCM）的 Nasdaq Futures, Inc.提出指控并达成和解。该命令发现 Nasdaq Futures,

Inc.未能妥善建立、监控或执行与其在指定合约市场上提供的激励计划相关的规

则。命令还发现，Nasdaq Futures, Inc.没有向 CFTC 或公众充分披露该激励计划

的详细信息，违反了《美国商品交易法》（CEA）和 CFTC 联邦法规的要求。此

外，命令发现 Nasdaq Futures, Inc.向 CFTC 作了关于激励计划的虚假和误导性陈

述。该命令要求该公司支付 2200 万美元的民事罚款。

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