Page 29 - 期貨和衍生品行業監管動態(2024年8月刊)
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期貨和衍生品行業監管動態
orchestrating a scheme to defraud.
The court entered consent orders of judgment on liability against Wang and
Ellison on December 23, 2022. In a related case, the court entered a consent order of
judgment as to liability and partial injunctive relief against Nishad Singh, a third FTX
insider, on April 13, 2023.
The consent order resolves the CFTC’s litigation against FTX, leaving the case
pending as to the four individual defendants including Bankman-Fried. In its
continuing litigation, the CFTC seeks restitution to defrauded victims, disgorgement
of ill-gotten gains, civil monetary penalties, permanent trading and registration bans,
and permanent injunctions against further violations of the CEA and CFTC
regulations, as charged.
https://www.cftc.gov/PressRoom/PressReleases/8938-24
8. 美國商品期貨交易委員會因一家得克薩斯州的公司未依法注冊為介紹經紀
人命令其支付 10 萬美元罰款(2024 年 8 月 12 日)
美國商品期貨交易委員會(CFTC)發布命令,同時對德克薩斯州的公司 Cost
Management Solutions, LLC(CMS)提起指控并達成和解。該命令認定被告未注
冊為介紹經紀人(IB),并要求其支付 10 萬美元的民事罰款。此外,CFTC 還命
令 CMS 停止進一步違反《美國商品交易法》(CEA)的行為。
案件背景
命令認定,從 2018 年 5 月至今,CMS 未經注冊以介紹經紀人的身份為其客
戶招攬和接受互換及期權交易指令。CMS 主要為能源商品(包括丙烷、取暖油
和原油)進行經紀交易。CMS 的介紹經紀人活動包括:確定交易對手方、價格
發現、交易談判以及執行交易。CMS 沒有接受任何金錢、證券或財產來為這些
交易提供履約保障。CMS 通過其經紀服務從客戶處收取費用。
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