Page 28 - 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

The Commodity Futures Trading Commission today announced it filed charges

against eight entities for fraudulently claiming to be CFTC-registered futures

commission merchants (FCMs) and retail foreign exchange dealers (RFEDs). The

entities, which all claim to be based in the Florida, are altux-fx-miner, AstroFXMinners,

Avadigital-Miners.com, Globalbitasset, Gold Life Investment, Matchlessfxminer,

PrimeCapitalTrade, and Trading-Extramining. Each complaint seeks an order directing

the respondent to cease and desist from committing violations of the Commodity

Exchange Act (CEA) and CFTC regulations.

“Today’s actions reflect the CFTC’s ongoing efforts to prevent fraud against

customers, who rely on CFTC registration and National Futures Association

membership as signs of legitimate participation in regulated markets”, said Director of

Enforcement Ian McGinley. “The CFTC will continue to police fraudulent claims of

registration, which harm customers and undermine faith in our regulated markets.”

Case Background

The complaints allege from approximately August 2023 to the present, the entities

offered a variety of services to their customers in connection with trading a variety of

products including futures, options, and forex as well as digital assets that are

commodities in interstate commerce. The entities claimed to be CFTC-registered FCMs

and RFEDs and members of the National Futures Association (NFA), but they are not

registered with the CFTC. The eight entities claim to have an identical NFA

identification number.

https://www.cftc.gov/PressRoom/PressReleases/8796-23

7. 美国商品期货交易委员撤销 SwapEx LLC 的互换执行设施注册资格（2023 年

9 月 29 日）

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