Page 17 - 期货和衍生品行业监管动态（2023年7月刊）

期货和衍生品行业监管动态

该行政令还认定，截止 2022 年 3 月 31 日和 2022 年 5 月 9 日，Challenger

Life 持有 2022 年 4 月和 2022 年 5 月铂金期货合约的头寸分别超过了交易所规

定的 500 手限额。

CFTC Orders Australian Company to Pay Penalty for Both Federal and

Exchange Platinum Futures Position Limits Violations（2023/6/29）

The Commodity Futures Trading Commission today issued an order filing and

simultaneously settling charges against Australian-based company Challenger Life

Company Limited (Challenger Life) for exceeding both the federal and exchange spot

month speculative position limits for Platinum futures contracts traded on the New York

Mercantile Exchange (NYMEX). The order requires Challenger Life to pay a $150,000

civil monetary penalty.

In addition to imposing a penalty, the order requires Challenger Life to cease and

desist from further violations of Sections 4a(b)(2) and (e) of the Commodity Exchange

Act and CFTC Regulation 150.2, as charged.

“Since 2022, in addition to position limits of the futures exchanges, the CFTC
has imposed federal position limits on an expanded number of commodities, including

Platinum,” said Director of Enforcement Ian McGinley. “This action is a reminder that

market participants must comply with these amended CFTC position limits.”

Case Background

The spot month for the April 2022 NYMEX Platinum futures contract was from

March 30, 2022 through April 27, 2022.

The order finds that as of the close of business on March 30, 2022, Challenger Life

held a net long futures position of 874 contracts in the NYMEX April 2022 Platinum

futures contract. This position exceeded the federal spot month speculative position

limit of 500 contracts.

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