Page 27 - 期货和衍生品行业监管动态（2024年8月刊）

期货和衍生品行业监管动态

同意令了结了 CFTC 对 FTX 的诉讼，但案件仍然对包括 Bankman-Fried 在

内的四名被告处于未决状态。在其正在进行的诉讼中，CFTC 寻求对受欺诈的受

害者的赔偿、追缴违法所得、民事罚款、永久的交易和注册禁令，以及永久禁止

进一步违反《美国商品交易法》和 CFTC 联邦法规的行为。

CFTC Obtains $12.7 Billion Judgment Against FTX and Alameda (2024/8/8)

Restitution and Disgorgement Damages to Pay Fraud Victims

The Commodity Futures Trading Commission today announced the U.S. District

Court for the Southern District of New York entered a consent order of permanent

injunction and other equitable relief against FTX Trading Ltd. and Alameda Research

LLC (together, FTX) and ordered FTX to pay $12.7 billion in monetary relief to FTX

customers and victims of FTX’s fraud. The order requires FTX to pay $8.7 billion in

restitution and $4 billion in disgorgement, which will be used to further compensate

victims for losses suffered as a result of the massive fraudulent scheme orchestrated

by Samuel Bankman-Fried, his now-bankrupt FTX group of companies, and a core

group of FTX insiders. [See CFTC Press Release Nos. 8638-22, 8644-22, 8669-23].

In addition, the order finds FTX violated the Commodity Exchange Act (CEA)

and CFTC regulations, imposes injunctions against further violations of the CEA and

CFTC regulations as well as trading and registration prohibitions, and requires FTX

and Alameda to cooperate with the CFTC in its ongoing litigation. The order finds

FTX and Alameda made material misrepresentations and omissions to customers. The

court noted that FTX touted itself as “the safest and easiest way to buy and sell

crypto,” and that customer assets, including digital assets such as Bitcoin and Ether,

were held in “custody” by FTX while stating FTX segregated customer assets from

FTX’s own assets as a general principle, when in fact customer funds were

commingled and misappropriated.

In a related settlement agreement approved by the Bankruptcy Court for the

District of Delaware, the CFTC agreed not to seek a civil monetary penalty against

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