Page 14 - 期貨和衍生品行業監管動態（2024年9月刊）
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期貨和衍生品行業監管動態
lean hogs futures. He also engaged in other services for clients, including arranging
for transfers to and from his clients’ trading accounts from his clients’ bank accounts
and dealing with margin and credit issues within the trading accounts. Hendershott
did not have a power of attorney or other agreement authorizing him to cause
transactions to be effected with respect to any of the commodity interest accounts on
behalf of which he traded.
The order finds Hendershott was required to register as a CTA because during the
relevant period, he held himself out generally to clients and potential clients as a CTA
and during the course of the preceding 12 months, he furnished commodity trading
advice to more than 15 persons, and he used email, the telephone, and the Internet in
connection with his business as a CTA.
https://www.cftc.gov/PressRoom/PressReleases/8950-24
2. 美國商品期貨交易委員會因瑞士能源交易公司試圖操縱市場命令其支付
4800 萬美元罰款（2024 年 8 月 27 日）
美國商品期貨交易委員會（CFTC）發布命令，對 TOTSA TotalEnergies Trading
SA（之前被稱為 TOTSA Total Oil Trading SA，簡稱 TOTSA）提起指控并達成和
解，原因是 TOTSA 試圖操縱 EBOB 相關期貨合約市場，以便從其衍生品頭寸中
獲利，這違反了《美國商品交易法》（CEA）和 CFTC 聯邦法規。TOTSA 未在
CFTC 注冊。
命令要求 TOTSA 支付 4800 萬美元的民事罰款，并停止違反《美國商品交
易法》和 CFTC 聯邦法規的行為。
CFTC 執法主任 Ian McGinley 表示：“基準價格操控是一種古老的手法，許
多公司在多個市場中嘗試過。在過去 20 年中，CFTC 通過發現和起訴這些相關
的操縱行為來維護市場誠信。此次案件涉及對 CFTC 監管的汽油期貨合約市場信
3
