Page 29 - 期货和衍生品行业监管动态(2024年8月刊)
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期货和衍生品行业监管动态




                   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.  美国商品期货交易委员会因一家得克萨斯州的公司未依法注册为介绍经纪


                   人命令其支付 10 万美元罚款(2024 年 8 月 12 日)



                        美国商品期货交易委员会(CFTC)发布命令,同时对德克萨斯州的公司 Cost

                   Management Solutions, LLC(CMS)提起指控并达成和解。该命令认定被告未注

                   册为介绍经纪人(IB),并要求其支付 10 万美元的民事罚款。此外,CFTC 还命

                   令 CMS 停止进一步违反《美国商品交易法》(CEA)的行为。


                        案件背景


                        命令认定,从 2018 年 5 月至今,CMS 未经注册以介绍经纪人的身份为其客

                   户招揽和接受互换及期权交易指令。CMS 主要为能源商品(包括丙烷、取暖油

                   和原油)进行经纪交易。CMS 的介绍经纪人活动包括:确定交易对手方、价格

                   发现、交易谈判以及执行交易。CMS 没有接受任何金钱、证券或财产来为这些

                   交易提供履约保障。CMS 通过其经纪服务从客户处收取费用。



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