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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。# L: Q- F: }* E9 B2 E0 `+ a
: @7 R* `. f. O8 _5 t- o芝加哥经纪商X-Change Financial Access被NFA罚款40万美元6 K5 s4 Z( V7 B* {7 p5 Q5 I
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.! T- M8 G+ P/ ~8 t/ G; G
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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。
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NFA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。7 b6 f( p, U2 Z6 F9 {2 y" r
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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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6 d$ ~" r( {5 _; ^6 d& LNFA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, P4 {1 b. P- ^ ]' [
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--NFA新闻（@NFA_News）2024年11月20日
3 }8 o( ~" D, @& ^" M3 Q( s3 [值得注意的是，这不是第一次解决8 m1 e) g' [4 i6 j/ P) d7 k: [
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。) _0 K: l/ O* u* D `) W
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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。7 v) Q" T( w) q* F
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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。: y6 J& H/ b9 c: e
, x( Q+ w+ T) k% m4 {Marex的一部分
# S. Z( O' |, \4 }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。7 Y M3 L, g; S' ]0 K. ]
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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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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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