Page 20 - 期货和衍生品行业监管动态（2023年7月刊）
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期货和衍生品行业监管动态
and environmental fraud. These new task forces will address these vital topics that will
only increase in importance in the future,” said Director of Enforcement Ian McGinley.
“The Cybersecurity and Emerging Technologies Task force will help ensure the
derivatives markets are as secure as possible and essential information — including
both customer and market information—remains confidential and protected. The
Environmental Fraud Task force will focus on addressing fraud and manipulation in
carbon credit markets and other forms of greenwashing, including material
misrepresentations about ESG investment strategies.”
The mission of each task force is as follows:
Cybersecurity and Emerging Technologies Task Force: This task force will
address issues in cybersecurity and involving emerging technologies
including ensuring registrants have sufficient cybersecurity controls as well
as controls for the protection of customer information and system safeguards
more broadly; prosecuting hacks/exploits/and account intrusions performed
for the purpose of manipulating commodities markets; prosecuting
technology-enabled thefts of material non-public information; exploring the
role that emerging technologies such as artificial intelligence and machine
learning may play in violations of the Commodity Exchange Act and CFTC
regulations; and ensuring that registrants adequately supervise their use of
emerging technologies.
Environmental Fraud Task Force: This task force will address fraud and
other misconduct not only in regulated derivatives markets, but also in
relevant spot markets (such as voluntary carbon credit markets), relating to
purported efforts to address climate change and other environmental risks.
The task force will examine, among other things, fraud with respect to the
purported environmental benefits of purchased carbon credits, as well as
registrants’ material misrepresentations regarding ESG products or strategies.
[See CFTC Press Release No. 8723-23]
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