Page 8 - 期货和衍生品行业监管动态（2024年9月刊）
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期货和衍生品行业监管动态
NFA Orders Florida Firm Trinity Trading Group LLC and Its Principal Not to
Reapply for NFA Membership and Principal Status (2024/9/19)..................................... 24
13. 美国商品期货交易委员会批准关于自愿碳信用衍生品合约上市的最终指导意
见（2024 年 9 月 20 日）.......................................................................................................25
CFTC Approves Final Guidance Regarding the Listing of Voluntary Carbon
Credit Derivative Contracts (2024/9/20)..............................................................................26
14. 纽约居民因进行外汇和数字资产欺诈被联邦法院命令支付超过 3600 万美元
（2024 年 9 月 20 日）...........................................................................................................27
Federal Court Orders New York Man to Pay Over $36 Million for Forex and
Digital Asset Fraud (2024/9/20)............................................................................................ 28
15. 美国商品期货交易委员会工作人员将关于资本和财务报告的临时不行动函扩
展至欧盟和英国的特定非银行互换交易商（2024 年 9 月 20 日）..................................29
CFTC Staff Extends Temporary No-Action Letter Regarding Capital and
Financial Reporting for Certain Non-U.S. Nonbank Swap Dealers Domiciled in the EU
and the UK (2024/9/20)..........................................................................................................30
境外资讯——欧盟...................................................................................................................32
16. 欧盟监管当局警告经济和地缘政治事件带来的风险（2024 年 9 月 10 日）...32
ESAs Warn of Risks from Economic and Geopolitical Events（2024/9/10）.........33
境外资讯——英国...................................................................................................................35
17. 英国金融行为监管局的进步表现有望助力英国金融部门蓬勃发展（2024 年 9
月 5 日）..................................................................................................................................35
FCA’s Improved Performance Set to Help UK Finance Sector Thrive (2024/9/5).....
..........................................................................................................................................36
境内资讯...................................................................................................................................40
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