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Page 31 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)(2024年6月刊)
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期貨和衍生品行業(yè)監(jiān)管動態(tài)




                   regulations. The order requires Trafigura to pay a $55 million civil monetary penalty

                   and implement certain remedial measures to ensure future compliance with the CEA.


                        The order includes three violations:


                        Between 2014 and 2019, Trafigura traded gasoline while in knowing possession

                   of material nonpublic information it knew or should have known had been

                   misappropriated from a Mexican trading entity (MTE).


                        In February 2017, Trafigura manipulated a fuel oil benchmark to benefit its

                   futures and swaps positions, including derivatives traded on United States registered

                   entities.


                        Between 2017 and 2020, Trafigura required its employees to sign employment

                   agreements, and requested that former employees sign separation agreements

                   containing non-disclosure provisions prohibiting them from disclosing company

                   information, with no exception for law enforcement agencies or regulators, which

                   illegally impeded individuals from voluntarily communicating with Division of

                   Enforcement (DOE) staff during the investigation.


                        “As reflected in today’s Order, Trafigura misappropriated material non-public


                   information and engaged in manipulative conduct that affected published benchmark
                   rates,” said Director of Enforcement Ian McGinley.   “This enforcement action is yet


                   another example of the CFTC’s commitment to ensuring the derivatives markets

                   remain free from trading abuses that undermine their integrity.”


                        Director of the Whistleblower Office Brian Young commented, “This is the first

                   CFTC action charging a company under regulations designed to prevent interference

                   with whistleblower communications. This groundbreaking action demonstrates the

                   CFTC’s commitment to protecting potential whistleblowers and puts the market on

                   notice that the CFTC will not tolerate contractual arrangements that could impede

                   communication by potential witnesses.”




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