2022年12月8日

近20年,2016年和2018年之間,貿易公司經營的缺陷和不足監測過程不能充分解決市場濫用行為,根據監管機構。此外,BGC -係統並沒有涵蓋所有資產類別在3月貨幣經紀人同意解決在初期階段。結果,罰款的FCA減少從£6821800 (30%)。然而,金融市場監管機構沒有明確的懲罰是否也同樣分給三個實體。BGC和GFI已經設法改善他們的控製係統,監管機構說。繼續閱讀濫用的葬禮進行自我監督收集數據從所有參與者在受監管市場。一個特別市場監督小組監督可疑交易和訂單報告(大的)政權。作為其職責的一部分,它進行特別檢查市場參與者評估他們是否控製潛在市場濫用。花旗集團全球市場,花旗集團(Citigroup Inc .)的一個間接的子公司,不得不支付一個類似的違反8月3月需求。£12.6的點球是30%的折扣。 If Citigroup did not agree to a quick resolution of the case, the fine would have been nearly £18 million. The Financial Conduct Authority ( FCA ), UK's regulatory watchdog, has fined BGC Brokers LP and two GFI Group subsidiaries, GFI Brokers Limited and GFI Securities Limited, £4,775,200 due to ineffective detection of potential market abuse and failure to provide adequate control systems. For nearly two years, between 2016 and 2018, trading firms operated flawed and inadequate surveillance processes that could not adequately address market abuse, according to the regulator. Moreover, BGC and GFI systems did not cover all asset classes under MAR. Inter-dealer brokers agreed to resolve the case at its early stages. As a result, the fine imposed by the FCA was reduced from £6,821,800 (by 30%). However, the financial market watchdog did not clarify whether the penalty was equally divided among the three entities. BGC and GFI have already managed to improve their control systems, the regulator said. Keep Reading