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期貨和衍生品行業監管動態
of an NFA Member. NFA has also ordered Shailendra Revankar (Revankar), the
former sole associated person and principal of Revankar Consultancy, not to apply for
NFA membership, reapply for NFA associate membership, or act or be listed as a
principal of an NFA Member.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on
a Complaint issued by the BCC and a settlement offer submitted by Revankar
Consultancy and Revankar, in which they neither admitted nor denied the allegations.
The Complaint alleged that Revankar Consultancy and Revankar failed to observe
high standards of commercial honor and just and equitable principles of trade by
failing to prioritize the interests of participants in the pool they operated, in violation
of Compliance Rule 2-4. The Complaint also alleged that Revankar Consultancy
caused the pool to make an improper loan or advance of pool assets, in violation of
NFA Compliance Rule 2-45. Further, the Complaint alleged that Revankar
Consultancy received funds for the purchase of interests in the pool in its name rather
than the pool's name, comingled pool assets and failed to distribute account
statements to pool participants, in violation of NFA Compliance Rule 2-13(a).
In its Decision, the BCC found that Revankar Consultancy and Revankar
committed the violations alleged against them in the Complaint.
https://www.nfa.futures.org/newsnotices/newsArticle.aspx?Year=2025&ArticleID=57
48
3. 美國商品期貨交易委員會工作人員延長了關于交易對手方通過豁免衍生品
清算機構清算互換交易不行動函的期限（2025 年 7 月 9 日）
美國商品期貨交易委員會（CFTC）市場監管部（DMO）發布不行動函，延
長了 CFTC 工作人員 22-18 號函中針對 CFTC 聯邦法規第 45 部分特定互換報告
要求的不行動立場。
5
