Page 24 - 期货和衍生品行业监管动态（2023年10月刊）

期货和衍生品行业监管动态

scheme, the defendants lured victims into contact with a telephone sales representative

through false or deceptive advertisements touting the safety and security of precious

metals investments; the benefits of investing in precious metals through a self-directed

IRA; and the experience and expertise of the defendants in guiding customers in

precious metals investments. After customers deposited funds with IRA custodians,

hand-picked by the defendants, the defendants issued fraudulent invoices to the

custodian, causing the transfer of funds or assets from the custodian to the defendants.

The defendants then misappropriated most of the funds they received, purchasing

metals for only a fraction of their total transactions and often at vastly inflated prices.

As alleged in the complaint, more than a hundred victims have transferred more

than $7 million in funds or assets to the defendants, mostly from their self-directed

IRAs, and the defendants misappropriated most of those funds.

https://www.cftc.gov/PressRoom/PressReleases/8784-23

5. 美国商品期货交易委员会对 Interactive Brokers 处以 2000 万美元罚款，因其

广泛使用未经批准的通信方式导致未能履行记录保存和监督义务（2023 年 9 月

29 日）

美国商品期货交易委员会（CFTC）签发行政令，对介绍经纪人 Interactive

Brokers Corp.和期货佣金商 Interactive Brokers LLC 提出指控并达成和解，因其

未能按照 CFTC 的要求维护和保存记录，也未能尽职监督与其作为 CFTC 注册人

的业务相关的事项。

该行政令要求 Interactive Brokers 支付 2000 万美元的民事罚款，停止并不再

违反记录保存和监督要求，并采取特定的补救措施。Interactive Brokers 承认了行

政令中详细说明的事实。

案件背景

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