Page 17 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2025年8月）
P. 17
期貨和衍生品行業(yè)監(jiān)管動態(tài)
to adequately disclose fees to customers prior to the commencement of trading, in
violation of NFA Compliance Rule 2-4. Lastly, the Complaint alleged that Traders
Edge failed to diligently supervise the firm's operations and employees, in violation of
NFA Compliance Rule 2-9(a).
In its Decision, the Hearing Panel found that Traders Edge violated NFA
Compliance Rules 2-2(a), 2-4, 2-9(a), 2-29(a)(1), 2-29(b)(1), 2-29(b)(3) and
2-29(b)(5).
https://www.nfa.futures.org/newsnotices/newsArticle.aspx?Year=2025&ArticleID=57
55
3. 美國商品期貨交易委員會工作人員發(fā)布關于互換數(shù)據(jù)錯誤糾正通知要求的
不行動函（2025 年 7 月 31 日）
美國商品期貨交易委員會（CFTC）市場監(jiān)管部針對報告方未能對于互換數(shù)
據(jù)錯誤提交更正通知采取不行動立場，前提是當報告方最初發(fā)現(xiàn)并評估錯誤影響
時，其合理判斷受該錯誤影響的可報告交易數(shù)量不超過該報告方作為報告主體的
相關資產(chǎn)類別未平倉互換合約總量的 5%。
CFTC Staff Issues No-Action Letter Regarding Swap Data Error Correction
Notification Requirements (2025/7/31)
The Commodity Futures Trading Commission’s Division of Market Oversight
today has taken a no-action position with respect to reporting counterparties that fail
to submit a swap data error correction notification with respect to an error if, at the
time the reporting counterparty initially discovers and assesses the impact of an error;
the reporting counterparty makes a reasonable determination that the number of
reportable trades affected by the error does not exceed five percent of the reporting
counterparty’s open swaps for the relevant asset class in swaps for which it was the
3
