Page 25 - 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

order finds that the agreements contained provisions that impeded clients from

reporting potential securities law violations to the SEC by permitting communications

only where the SEC first initiated an inquiry. As described in the order, some of the

agreements further required the clients to represent that they had not reported the

underlying dispute to the SEC or to another securities regulator and would forever

refrain from such reporting.

“Pure and simple, investors need to be able to report complaints or evidence of

wrongdoing to the SEC without impediment,” said Corey Schuster, Co-Chief of the

Enforcement Division’s Asset Management Unit. “We will continue to hold firms

accountable for putting roadblocks between us and their investors.”

The SEC’s order finds that Nationwide, NPA, and Blue Point each violated Rule

21F-17(a) under the Securities Exchange Act of 1934, a whistleblower protection rule

that prohibits taking any action to impede an individual from communicating directly

with SEC staff about possible securities law violations. Without admitting or denying

the SEC’s findings, Nationwide, NPA, and Blue Point each agreed to be censured and

to cease and desist from violating the whistleblower protection rule. They further

agreed to a combined penalty, which was apportioned according to their relative size

and financial condition, with NPA agreeing to pay $160,000, Nationwide $70,000,
and Blue Point $10,000.

https://www.sec.gov/newsroom/press-releases/2024-115

7. 美国商品期货交易委员会因 Uniswap Labs 非法开展数字资产衍生品交易对

其提起指控（2024 年 9 月 4 日）

美国商品期货交易委员会（CFTC）发布了一项命令，对注册于特拉华州但

总部位于纽约的 Universal Navigation Inc.（即 Uniswap Labs）提起指控并达成和

解。这是 CFTC 在数字资产去中心化金融（DeFi）领域持续执法工作的一部分。

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