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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。5 ]& @# B5 j- f3 q3 p
) F n2 R# X; ^, M0 X$ J芝加哥经纪商X-Change Financial Access被NFA罚款40万美元# R& k7 K) M) e
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.
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5 l* i' \& |' v. w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。$ W9 U) L$ f, Y1 |4 E# V
; E( _% s* ^4 vNFA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。- _4 s7 d: V! _6 l! p
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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。+ X0 N6 Z$ [+ N s$ }( c8 \
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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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+ L% d: s0 r! ]& ]* n1 V--NFA新闻（@NFA_News）2024年11月20日+ ~ _0 D( T# Z$ R
值得注意的是，这不是第一次解决/ |2 w( n2 R7 E) E1 `/ X
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。% f: s& U% }$ e) U9 p
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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。
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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。! {5 ~& ?0 q! r- o j
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Marex的一部分
# n! s+ f/ H& `* {" v$ A9 P$ L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。* z9 f8 E2 k6 H- p$ E5 d' _4 H* j A
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XFA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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$ ^7 O+ B8 ^4 O0 jXFA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。! N9 [+ X2 [& B9 Z9 _6 `# S% P5 ]
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