Page 5 - 期货和衍生品行业监管动态(2024年5月)
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期货和衍生品行业监管动态
(2024/5/14)...............................................................................................................................12
7. 美国证券交易委员会通过对 S-P 条例的修正案,以加强对客户信息的保护(2024
年 5 月 16 日)........................................................................................................................14
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of
Customer Information (2024/5/16).......................................................................................15
8. 美国证券交易委员会指控 Intercontinental Exchange 及其九家关联公司(包括
the New York Stock Exchange)未就网络入侵向其进行通报(2024 年 5 月 22 日)..16
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New
York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion
(2024/5/22)...............................................................................................................................17
9. J.P.Morgan 因管理不善被美国商品期货交易委员会处以 2 亿美元罚款(2024 年
5 月 23 日).............................................................................................................................19
CFTC Orders J.P. Morgan to Pay $200 Million for Supervision Failures
(2024/5/23)...............................................................................................................................20
境外资讯——欧盟...................................................................................................................23
10. 欧洲三大监管机构更新风险报告:欧盟金融体系中仍存在较高风险(2024 年
4 月 30 日).............................................................................................................................23
ESAs Risk Update: Risks Remain High in the EU Financial System (2024/4/30).. 24
11. 欧盟证券与市场管理局就基于《欧盟金融工具市场指引》审查背景下的商品
衍生品规定公开征求意见(2024 年 5 月 23 日)..............................................................25
ESMA Consults on Commodity Derivatives under MiFID Review (2024/5/23).....26
境外资讯——英国...................................................................................................................28
12. 三人被指控通过差价合约交易欺诈养老金(2024 年 5 月 15 日).................. 28
Three Charged over CFD Trading Pension Fraud (2024/5/15)................................28
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