Page 6 - 期货和衍生品行业监管动态（2024年11月）
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期货和衍生品行业监管动态
目 录 CONTENTS
境外资讯——国际.................................................................................................................... 1
1. 2024
10 29 ............................................................................................................................ 1
FIA Statement on CME’s FCM License (2024/10/29).................................................1
2. 2024 11 13 ............2
IOSCO Publishes Report on Transition Plans Disclosures (2024/11/13).................. 4
3.
2024 11 14 ..........................................................................................................6
IOSCO Publishes its Final Report on Promoting Financial Integrity and Orderly
Functioning of Voluntary Carbon Markets (VCMs) (2024/11/14).....................................9
4. 2024 11 19
......................................................................................................................................... 12
IOSCO Unveils New Roadmap to Enhance Retail Investor Online Safety
(2024/11/19)............................................................................................................................ 14
境外资讯——美国.................................................................................................................. 18
5. AC Investment Management, LLC
10 2024 10 29 ......................................................................18
NFA Orders New York, N.Y. Commodity Pool Operator AC Investment
Management, LLC to Pay a $100,000 Fine (2024/10/29)...................................................18
6. X-Change Financial Access LLC
2024 11 20 ................................................................................19
NFA Sanctions Chicago-based Introducing Broker X-Change Financial Access
LLC and Two Employees (2024/11/20)............................................................................... 20
1
