Refinitiv US因报告违规被CFTC罚款65万美元
美国商品期货交易委员会(CFTC)日前宣布，已对Refinitiv US SEF提起诉讼并达成和解。Refinitiv US SEF是一家掉期执行机构，是Refinitiv的子公司。
Refinitiv US SEF已同意向CFTC支付65万美元的民事罚款，并同意遵守某些承诺以解决指控。
CFTC称，在2016年2月至2020年8月期间，Refinitiv未能报告至少32万笔掉期交易的主要经济数据。
在Refinitiv的两名客户提出同样的问题后，该公司系统的漏洞才被曝光。此外，Rifinitiv还向CFTC自行报告了违规行为。
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