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期货和衍生品行业监管动态

The Complaint alleged that ACIM permitted Aurelian Plus LLC (Aurelian Plus),

a pool ACIM operates, to make an improper loan to an affiliated entity, in violation of

NFA Compliance Rule 2-45. The Complaint also alleged that ACIM failed to uphold

high standards of commercial honor and just and equitable principles of trade by

failing to act in the best interests of Aurelian Plus, AGR Master LP, another pool the

firm operates, and their participants, in violation of NFA Compliance Rule 2-4.

In its Decision, the Hearing Panel found that, based on the actions of its former

sole managing member, ACIM violated NFA Compliance Rules 2-4 and 2-45.

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5689

6. X-Change Financial Access LLC

2024 11 20

美国期货业协会（NFA）要求位于芝加哥的 NFA 会员介绍经纪商 X-Change

Financial Access LLC（XFA）支付 40 万美元罚金。

该决定由 NFA 听证小组基于 NFA 商业行为委员会（BCC）发出的控告书以

及 XFA 提交的和解申请作出。XFA 在和解申请中既未承认也未否认控告书中的

指控。听证小组认定 XFA 违反了《NFA 合规规则》第 2-10（a）条，未能保留

完整、系统的交易记录并维护交易前的沟通记录；违反了《NFA 章程》第 301

（b）条，允许两名未注册人员作为关联人（AP）行事；以及违反了《NFA 合规

规则》第 2-9（a）条，未能充分监督公司的运营和员工。

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