Page 19 - 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

账户入侵行为；起诉利用技术手段窃取重大非公开信息的行为；探讨人

工智能和机器学习等新兴技术在违反《美国商品交易法》（CEA）和 CFTC

联邦法规方面可能扮演的角色；以及确保注册者充分监督他们对新兴技
术的使用。

 环境欺诈工作组：该工作组将处理在受监管的衍生品市场和相关的现货

市场（如自愿碳信用市场）中，与声称的应对气候变化和其他环境风险

有关的欺诈和其他不当行为。此外工作组将审查与声称的购买碳信用的

环境效益的欺诈行为，和注册者对环境、社会和公司治理产品或战略的

重大虚假陈述。【见 CFTC 第 8723-23 号新闻稿】

CFTC Division of Enforcement Creates Two New Task Forces（2023/6/29）

The Commodity Futures Trading Commission’s Division of Enforcement today

announced it has established two new task forces. The Cybersecurity and Emerging

Technologies Task Force will address cybersecurity issues and other concerns related

to emerging technologies (including artificial intelligence). The Environmental Fraud
Task Force will combat environmental fraud and misconduct in derivatives and relevant

spot markets. The task forces are comprised of attorneys and investigators across
different offices within the Enforcement Division, who will prosecute cases, serve as

subject matter experts, and coordinate efforts with the CFTC’s other divisions and

offices.

“We must be dynamic and proactive in protecting derivatives markets against

evolving threats,” said Chairman Rostin Behnam. “Recent events that directly impacted

derivatives markets highlight the concerns that cybersecurity breaches raise in our

markets. Meanwhile, as more firms tout their environmental credentials and as

voluntary carbon markets grow, there exists the potential for fraud and manipulation.

The creation of these two task forces demonstrates the vigorous and forward-looking

approach the CFTC will take to address misconduct in these critical areas.”

“When I was a federal prosecutor leading a unit focused on complex frauds and
cybercrime, I saw firsthand the growth of cyberattacks, cyber-enabled financial fraud,

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