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[lastpost] => 2801008 比特币刚刚突破 9 万美元大关。这三大利好因素能否帮助它守住这个价格？（转） 1769555370 sunnyclare001
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[虚拟币交流]
Marex的X-Change财务遭受40万美元NFA罚款（转）
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全国期货协会(NFA)已对Marex旗下的X-Change Financial Access（XFA）处以40万美元的罚款，并暂停其一名高管的监管职责，此前一项调查显示，这家总部位于芝加哥的介绍经纪商涉嫌违反合规规定。/ h& E$ J/ N/ v7 T+ Q7 w5 j
' h% u% P7 q) d0 X2 P芝加哥经纪商X-Change Financial Access被NFA罚款40万美元
4 e3 w0 v6 `: Q6 K; U6 _根据NFA的决定，XFA的合伙人兼负责人Timothy Francis Hendricks将被禁止担任监督职务90天，并分担罚款总额中10万美元的责任周三发布.) \* M: |; U4 n/ V+ |
' ^. u4 X5 J0 \/ g$ E$ H5 j+ R监管行动源于涉嫌的多项违规行为，包括该公司未能保持适当的交易记录和交易前沟通。NFA还发现，XFA允许未注册的个人在没有适当注册或NFA协会身份的情况下作为关联人运营。4 D/ K( w5 d. i2 J$ V; Z1 f: h
' T& Y6 }+ n" i: {. v; M0 XNFA在其决定中表示：“该公司未能对所有交易进行全面、完整和系统的记录。”这突显了Hendricks监管下更广泛的监管不足。
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在不承认或否认指控的情况下达成的和解要求XFA和Hendricks实施与监管机构另行签订的协议中概述的补救措施。这些承诺专门针对违规行为，并与Hendricks的临时监督禁令有关。
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NFA制裁总部位于芝加哥的介绍经纪商X-Change Financial Access LLC和两名员工https://t.co/isrMtAbn4k pic.twitter.com/vialSpospoA
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--NFA新闻（@NFA_News）2024年11月20日
6 c& \0 p/ D6 M9 R; ~2 W3 n值得注意的是，这不是第一次解决1 Z5 y. o& d/ `- w* w, L( t
以及XFA向NFA支付的罚款。2018年，监管机构处以10万美元的罚款代表被禁止交易的个人执行交易。7 M$ b; k% _5 O, {
/ M+ K# x& ~7 s! O/ R N1 w- o该案件源于NFA商业行为委员会于2024年4月提出的投诉，该投诉导致对该公司的做法和监督控制进行了正式调查。) @& `. z0 M( v# {. `
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根据CFTC的规定，这些制裁还使Hendricks没有资格在任何自律组织的纪律委员会、仲裁小组或管理委员会任职至少三年。
6 x& \" c- \2 p
" U) b" v* A3 q3 j" h3 YMarex的一部分
: ?' h& t* L, ^4 q& D0 p ?* @- {总部位于伦敦的全球大宗商品经纪商Marex四年前收购了XFA。XFA成立于2001年，在芝加哥以外的地方运营，在纽约和旧金山设有办事处。该公司提供广泛的服务，包括市场信息、战略数据、期货执行和直接市场准入。
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$ H- l$ H# V; ^) g9 Z& [4 vXFA为欧洲、北美和亚洲的多元化客户群提供服务，包括全球金融服务公司、一些世界上最大的对冲基金、机构投资者、商品交易顾问（CTA）和做市商
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XFA是本周面临NFA财务处罚的最新一家总部位于芝加哥的经纪商。正如昨天（星期三）报道的那样金融巨头, NinjaTrader清算公司及其总裁Michael Cavanaugh，还因总部位于芝加哥的期货佣金商在反洗钱（AML）控制和可疑活动监控方面涉嫌重大失误而受到处罚。
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