福汇因Revelation Forex支付84.3万美元

汇商资讯 6年前 (2015) admin
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福汇在违反自己合规程序时未能及时发觉和发出警告信号
美国商品期货交易委员会(CFTC)周二的时候发布文件,同时对Forex Capital Markets(纽约证券交易所名称:FXCM)进行指控,控告其未能严格的监督员工管理的Revelation Forex基金持有的账户。进行外汇交易池欺诈,Revelation Forex基金是由Kevin G. White管理的,并且他还管理着两家合法实体。
根据CFTC的指控,福汇未能遵守其合规程序,合规要求“对所有客户了如指掌”,并且要求员工及时发现和上报可疑活动给上级领导和机构。
CFTC起诉White先生和他的公司,指控他们有计划的进行诈骗,请求对被告发布同意令,永久禁止其服务。White先生在2013年12月承认CFTC对其诈骗的指控,还包括挪用公款及客户资金近180万美金。White先生因邮件欺诈被判处入狱八年。
尽管福汇当时意识到了Revelation Forex是一个骗局的警告信号,但是福汇仍然没有认定并报告出合规程序的违规,或者White先生所代表的实体操作的网站违反了作为一个商品池操作者的豁免注册权。CFTC还发现,福汇未能充分的回应查看文件的要求,在这一过程中,还违反了之前委员会命令。
CFTC要求福汇支付70万美金的民事罚款,以及交出Revelation Forex的佣金和费用14万3922.5美元,还有吸收的740万美元的投资。最后要求其遵守包括雇佣第三方合规顾问审查和监督报告问题。
 
FXCM Ordered to Pay More Than $843,000 Over Revelation Forex
FXCM failed to identify or report warning signs in violation of its own compliance procedures
The U.S. Commodity Futures Trading Commission (CFTC) on Tuesday filed and simultaneously settled charges against Forex Capital Markets (NYSE: FXCM), for failing to diligently supervise its employees’ handling of accounts held by Revelation Forex Fund. The fraudulent foreign currency exchange pool, Revelation Forex Fund was operated by Kevin G. White and two legal entities he controlled.
According to the CFTC, FXCM failed to follow its compliance procedures that require that it “know all of its customers” and that its employees identify and promptly report suspicious activities to appropriate authorities.
The CFTC sued White and his entities in July 2013, for their fraudulent scheme and subsequently entered into a consent order for permanent injunction against them. He pled guilty in December 2013 to numerous charges of fraud, including the embezzlement of approximately $1.8 million in client funds. White was sentenced to over eight years of prison for mail fraud.
Although FXCM was aware of warning signs that Revelation Forex was a fraud, FXCM failed to identify or report these warning signs in violation of its own compliance procedures, or that White’s operation of websites on behalf of the entities violated their exemption from registering as a commodity pool operator. The CFTC also finds that FXCM failed to respond fully to its document request and, in doing so, violated a previous commission order.
The CFTC requires FXCM to pay a civil monetary penalty of $700,000; disgorge commissions and fees of $143,922.50 it earned from the Revelation Forex accounts, which attracted nearly $7.4 million in investments; and comply with certain undertakings including hiring a third-party compliance consultant to review and report on the supervisory issues.

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