Page 48 - 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

监督员（提出建议、评估建议并向执法部门报告工作结果的第三方）和

顾问（就合规性改进向实体提供建议的第三方）。在未来，执法部门将向

CFTC 建议，在涉及最严重和/或最普遍的合规和控制失效、反映出对有

效合规缺乏足够承诺的情况下，实施监督员制度；在严重但不严峻的情

况下，将建议实施顾问制度。

 承认——实现问责和威慑：接受调查的公司和个人将不再以不承认、不

否认作为默认的解决方案。相反，在每个案件中，执法部门都会与被调

查人或被告讨论承认是否合适。该咨询文件规定了与确定承认是否适当

相关的各种因素。

该咨询文件是对执法部门之前发布的咨询文件和指南的补充。此次公布的咨

询文件反映了执法部门在协商可能向 CFTC 建议的拟作出的处置方案时，将重点

放在实现问责制和尽量减少未来的不法行为上。

CFTC Releases Enforcement Advisory on Penalties, Monitors and Admissions
(2023/10/17)

The Commodity Futures Trading Commission’s Division of Enforcement today

issued an advisory designed to give enforcement staff guidance on future enforcement

resolution recommendations to the Commission. In particular, the advisory provides

guidance on determining whether proposed civil monetary penalties are sufficient;

when the imposition of a corporate compliance monitor or consultant is appropriate;

what the duties and responsibilities of monitors and consultants should be; and whether

admissions should be recommended in a particular enforcement action.

“Today, the Division of Enforcement announced steps showing how it will

approach key terms of resolutions—civil monetary penalties, monitors, and

admissions—to ensure greater transparency and answerability throughout the process,”

said CFTC Chairman Rostin Behnam. “As our guiding statute sets forth goals of

preserving market integrity and protecting the public, it is our duty to ensure that every

enforcement action aims to elevate compliance and optimize deterrence.”

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