The National Futures Association (其他) has ordered London-based introducing broker Sigma Broking Limited to pay a 0,000 fine for alleged multiple compliance violations, according to an NFA decision issued on May 28.

美国联邦金融机构罚款英国引进经纪人西格马经纪人15万美元

根据NFA听证会的决定,Sigma Broking未能在2020年,2021年和2022年进行年度反洗钱审计,并未能轻松访问交易前的书面通讯,并未能适当监督其业务.

The Hearing Panel's decision was based on a complaint issued by NFA's Business Conduct Committee in February and a settlement 结算 金融中的结算是指买方支付并收到协议的服务或商品的过程.该术语在纽约证券交易所 (NYSE) 等证券交易所使用,当证券换手时.当资产转让并以新买方的名义进行交易时,它被认为已经结算.此过程可能需要交易后几个小时或几天.这取决于清算过程.在美国,可交易股票的结算日期通常是2 金融中的结算是指买方支付并收到协议的服务或商品的过程.该术语在纽约证券交易所 (NYSE) 等证券交易所使用,当证券换手时.当资产转让并以新买方的名义进行交易时,它被认为已经结算.此过程可能需要交易后几个小时或几天.这取决于清算过程.在美国,可交易股票的结算日期通常是2 阅读此条款 offer submitted by Sigma Broking, in which the firm neither admitted nor denied the allegations and agreed to pay a fine of 0,000.

西格玛经纪商在其报价中承认,接受报价的任何决定都将包括发现西格玛经纪商犯下了投诉中指控的违规行为.NFA决定说.此外,西格玛经纪商在听证会小组中明确承认,在接受报价的任何决定中,西格玛经纪商向NFA提供了证据,表明该公司完成了2020年和2023年反反货币管制审计.

NFA orders London, United Kingdom introducing broker Sigma Broking Limited to pay a 0,000 fine 没有任何其他信息. 没有任何消息.

作为NFA成员,Sigma Broking必须遵守自我监管组织的规则和法规.NFA监督美国衍生品行业,包括期货佣金交易商,引入经纪人,交换经纪人和其他市场参与者.

最近金融行业的罚款

In a similar case a few months ago, the NFA imposed a fine of 0,000 on Braemar Securities, another London-based broker, 涉嫌未履行通信记录义务的情况 and improperly disclosing confidential customer information.

Another US regulator, the Financial Industry Regulatory Authority (FINRA), has also been issuing fines to firms in the financial sector. 金融大亨 recently reported on a case in April where 金融监管机构对RBC资本市场进行了罚款 for failing to comply with trade confirmation regulations. The firm agreed to pay 5,000 as part of a settlement, acknowledging its shortcomings in providing accurate and timely trade confirmations to customers.

A few weeks prior to the RBC Capital Markets case, 金融监管局对H2C证券公司进行了审查. and imposed a fine of 0,000 for failing to preserve and review over 1.25 million business-related electronic communications between January 2013 and June 2021. These communications were sent or received by H2C Securities' associated persons using four platforms made available by the firm.

These cases highlight the importance of compliance 符合规定 在金融,银行,投资和保险领域,合规是指遵守政府监管机构设定的规则或命令,无论是提供服务还是处理交易. 金融方面的合规也将是遵循已确定的指导方针或规范的状态. 这种指定的也可以包括确保组织遵守行业法规和政府立法的努力.理解合规合规是一个重要的因素. 在金融,银行,投资和保险领域,合规是指遵守政府监管机构设定的规则或命令,无论是提供服务还是处理交易. 金融方面的合规也将是遵循已确定的指导方针或规范的状态. 这种指定的也可以包括确保组织遵守行业法规和政府立法的努力.理解合规合规是一个重要的因素. 阅读此条款 with regulatory requirements in the financial industry.