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Date de publication: 4 janv. 2013
Auteur: Y B
Noter cette article :

La Commodity Futures Trading Commission a publié un communiqué de presse dans lequel elle annonce qu'elle condamne le négociant-commissionnaire agréé à terme Mizuho Securities pour défaut de supervision et carences dans un fonds garanti.

L'entreprise aurait omis de lui fournir des avis quant à ses carences de fonds sécurisés en temps opportun, ce qui est une violation de la réglementation CFTC 1,12 et pour avoir omis de superviser avec diligence ses employés en violation directe avec l'article 166.3 de sa réglementation.

Mizuho Securities écope d'une amende de 175 000 dollars.

Résumé :

The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges against Mizuho Securities USA Inc. (Mizuho) of New York, N.Y., for failing to provide timely notice to the CFTC of secured fund deficiencies in violation of CFTC regulation 1.12(h) and for failing to diligently supervise its employees in violation of regulation 166.3. Mizuho is a registered Futures Commission Merchant (FCM). The CFTC order requires Mizuho to pay a $175,000 civil monetary penalty and orders Mizuho to cease and desist from violating CFTC regulations, as charged.

The Commodity Exchange Act and CFTC regulations contain provisions to protect the funds of customers trading on both U.S. and foreign exchanges. In relation to customers trading on foreign exchanges, an FCM must account for and maintain money, securities, and property (collectively “funds”) in an amount at least sufficient to cover or satisfy all of its current obligations to foreign futures and options customers in a separate “secured account.” The funds in a secured account are referred to as secured funds. CFTC regulation 1.12(h) provides, in part, that whenever an FCM knows or should know that it has a deficiency in secured funds, it must report such deficiency immediately by telephone notice, confirmed immediately in writing by facsimile notice to the CFTC and the FCM’s Designated Self-Regulatory Organization (DSRO).

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