Page 21 - 期貨和衍生品行業監管動態（2025年9月）
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期貨和衍生品行業監管動態
comparable cases over the last decade and DOE’s Advisory on Self-Reporting,
Cooperation, and Remediation. The initiative was limited to enforcement matters
regarding compliance violations, such as recordkeeping, reporting, or other
compliance violations that did not involve fraud, customer harm, or market abuse.
Each firm has completed or nearly completed remediation and agreed to cease
and desist from further violations of the Commodity Exchange Act and CFTC
regulations, as charged.
“When I announced the enforcement sprint initiative at FIA Boca in March, I
expressed concerns about a ballooning enforcement docket for operational or
technical non-compliance issues with no harm, with some matters languishing for
nearly a decade, diverting resources away from the most critical aspects of DOE’s
mission to protect against fraud, manipulation and abuse in our markets. The goal of
this initiative was to provide firms an opportunity to work with DOE to fairly and
efficiently resolve compliance-related investigations,” Acting
Chairman Pham said.“This initiative did just that, and positions DOE staff to refocus
on fighting fraud and helping victims.”
“The enforcement sprint initiative was a success,” said Charles Marvine, Acting
Chief of the Retail Fraud and General Enforcement Task Force. “It not only allowed
the CFTC to wrap up these six matters efficiently and conserve resources, but it was
also part of a larger effort to help DOE clean up its overall docket and prioritize
pursuing fraudsters and other wrongdoers going forward.”
Supervision and Other Violations Related to Systems Errors
Two orders involve supervision and related CEA and CFTC regulation violations
due to systems errors:
? UBS AG, a registered swap dealer; UBS Financial Services Inc., a
registered futures commission merchant; and UBS Securities LLC, a
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