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花旗及瑞銀等與美國商品期貨交易委員會達成和解 支付共830萬美元罰款
美國商品期貨交易委員會(CFTC)宣佈對多宗合規性違規案件提出指控,並已達成和解,共處以830萬美元的罰款。其中,花旗(C.US)涉及於最少2015年至2022年期間秋季未能提交準確的大戶報告,以及於2023年內有10個星期未能維持監管記錄,被處以150萬美元罰款。而瑞銀(UBS.US)則被指控於最少2015年至2024年未能妥善監督交易監控計劃,遭罰款500萬美元。 另外,三井住友金融集團旗下SMBC Capital Markets、桑坦德銀行(SAN.US)及紐約梅隆銀行(BK.US)須分別支付各50萬美元罰款,以解決記錄保存及監督違規指控。CFTC表示,各相關公司已完成或接近完成補救措施,並同意避免進一步違反《商品交易法》及CFTC規定。
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