Page 14 - 期货和衍生品行业监管动态（2024年9月刊）

期货和衍生品行业监管动态

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. 美国商品期货交易委员会因瑞士能源交易公司试图操纵市场命令其支付

4800 万美元罚款（2024 年 8 月 27 日）

美国商品期货交易委员会（CFTC）发布命令，对 TOTSA TotalEnergies Trading

SA（之前被称为 TOTSA Total Oil Trading SA，简称 TOTSA）提起指控并达成和

解，原因是 TOTSA 试图操纵 EBOB 相关期货合约市场，以便从其衍生品头寸中

获利，这违反了《美国商品交易法》（CEA）和 CFTC 联邦法规。TOTSA 未在

CFTC 注册。

命令要求 TOTSA 支付 4800 万美元的民事罚款，并停止违反《美国商品交

易法》和 CFTC 联邦法规的行为。

CFTC 执法主任 Ian McGinley 表示：“基准价格操控是一种古老的手法，许

多公司在多个市场中尝试过。在过去 20 年中，CFTC 通过发现和起诉这些相关

的操纵行为来维护市场诚信。此次案件涉及对 CFTC 监管的汽油期货合约市场信

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