Page 31 - 期货和衍生品行业监管动态（2024年11月）

期货和衍生品行业监管动态

境外资讯——美国

5. AC Investment Management,

LLC 10 2024 10 29

美国期货业协会（NFA）要求位于纽约的商品基金管理人 AC Investment

Management, LLC（ACIM）支付 10 万美元罚金。

该决定由 NFA 听证小组基于 NFA 商业行为委员会发出的控告书以及 ACIM

提交的和解申请做出，ACIM 在和解申请中既不承认也不否认控告书中的指控。

控告书指控称，ACIM 允许其运营的基金 Aurelian Plus LLC（Aurelian Plus）

向关联实体提供不当贷款，违反了 NFA 合规规则第 2-45 条。控告书还指控称，

ACIM 未能保持高水平的商业信誉和公平公正的交易原则，未能以 Aurelian Plus、

AGR Master LP（ACIM 运营的另一只基金）及其参与者的最佳利益行事，违反

了 NFA 合规规则第 2-4 条。

在其决定中，听证小组认定，根据其原唯一管理成员的行为，ACIM 违反了

NFA 合规规则第 2-4 条和第 2-45 条。

NFA Orders New York, N.Y. Commodity Pool Operator AC Investment

Management, LLC to Pay a $100,000 Fine (2024/10/29)

NFA has ordered AC Investment Management, LLC (ACIM), an NFA Member

commodity pool operator located in New York, N.Y., to pay a $100,000 fine.

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

by NFA's Business Conduct Committee and a settlement offer submitted by ACIM, in

which the firm neither admitted nor denied the allegations in the Complaint.

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