Page 18 - 期货和衍生品行业监管动态（2023年11月刊）

期货和衍生品行业监管动态

flip the company’s existing short position in the July 2016 oat futures contract and

attempt to reach a long position of 600 contracts, or 3 million bushels, the speculative

position limit set by the exchange. In addition to building its long futures position, the

former officer directed oats traders to buy back shipping certificates the company

previously tendered to other market participants in a way that would not “tip [their]

hand” about Ceres’s plan to take delivery at the expiration of the contract. In connection

with this attempt to affect the July 2016 oats futures contract price, Ceres took delivery

of 484 contracts and entered into offsetting transactions of an additional 53 contracts.

The order also finds Ceres engaged in similar activity in connection with the

March 2017 oats futures contract, again intending to affect the futures price. The

company built a long position in the March 2017 oats futures contract, held its long

position into delivery, and took delivery of 337 contracts and entered into offsetting

transactions of an additional 224 contracts, even though it had no immediate need for

the oats.

https://www.cftc.gov/PressRoom/PressReleases/8810-23

2. 美国商品期货交易委员会与法国金融市场管理局就某些跨境公司的监管事

项签署谅解备忘录（2023 年 10 月 27 日）

美国商品期货交易委员会（CFTC）与法国金融市场管理局（AMF）签署了

一份谅解备忘录（MOU），内容涉及在美国和法国对某些跨境经营的受监管公司

进行监管的合作和信息交流事项。

通过该谅解备忘录，CFTC 和 AMF 表示愿意开展合作，以履行各自的监管

职责，对谅解备忘录范围内的公司进行监管。谅解备忘录建立了合作框架，考虑

了信息共享事宜，并规定了对目前在 CFTC 注册的法国互换交易商进行审查的程

序。

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