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期货和衍生品行业监管动态
pool participants to send them money, the defendants made fraudulent and material
misrepresentations and omissions including: the defendants had historically made
large profits (between 8–25% per month) for themselves and pool participants from
trading forex; pool participants would realize profits of 8–25% per month on their
funds with minimal risk; the defendants would trade forex with the funds the pool
participants deposited; and upon request, pool participants could withdraw their
money within three to five business days of any such requests. Instead of trading pool
participant funds as promised, the defendants misappropriated the pool participants’
money for Nawabi’s own personal benefit as well as to pay other pool participants in
a manner akin to a Ponzi scheme. To conceal their misappropriation, the defendants
created and issued false account statements that misrepresented trading returns the
pool participants supposedly earned. The defendants failed to return funds to the pool
participants despite repeated requests.
The CFTC cautions that orders requiring repayment of funds to victims may not
always result in the recovery of lost money because the wrongdoers may not have
sufficient funds or assets.
https://www.cftc.gov/PressRoom/PressReleases/8892-24
12. 美国商品期货交易委员会批准了互换执行设施关于互换交易确认要求的最
终规则（2024 年 4 月 23 日）
美国商品期货交易委员会（CFTC）批准了互换执行设施（SEF）监管规定
中涉及非中央清算互换交易确认的最终规则，以解决 CFTC 工作人员不采取行动
信函中提及的问题，包括最新的 CFTC 不行动函第 17-17 号，以及相关的合规和
技术变更。
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