Page 23 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2025年9月）
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期貨和衍生品行業(yè)監(jiān)管動態(tài)
an internal audit to assess its electronic communications compliance
program with respect to U.S.-based associated persons and addressing any
concerns identified from this audit.
? The Bank of New York Mellon, a registered swap dealer; and BNY Mellon
Securities Corporation, a registered introducing broker (collectively,
BNYM), were cited for violations since 2020. BNYM must also comply
with certain remedial undertakings, including implementing the
recommendations of an independent compliance consultant.
Swap Data Reporting Violations
The final order resolves charges against U.S. Bank, N.A., a registered swap
dealer, for reporting inaccurate swap valuation data to its swap data repository for
various FX products and interest rate swaps from at least 2022 to 2024 because of
errors in its valuation methodology. The firm will pay a $325,000 civil monetary
penalty, which was reduced by the maximum mitigation credit based on its exemplary
self-reporting and exemplary cooperation.
https://www.cftc.gov/PressRoom/PressReleases/9114-25
4. 美國商品期貨交易委員會發(fā)布關(guān)于刑事執(zhí)法轉(zhuǎn)介的政策聲明（2025 年 9 月 5
日）
美國商品期貨交易委員會（CFTC）批準(zhǔn)一項(xiàng)政策聲明，闡述其根據(jù)第 14294
號行政令《打擊聯(lián)邦法規(guī)中的過度刑事化》處理應(yīng)負(fù)刑事責(zé)任的監(jiān)管違規(guī)行為的
計(jì)劃。
該政策聲明告知公眾，CFTC 經(jīng)與司法部部長協(xié)商，將向管理和預(yù)算辦公室
（Office of Management and Budget）主任提交包含以下內(nèi)容的報(bào)告：
? 可由 CFTC 或司法部執(zhí)行的所有刑事違法行為清單
9
