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期货和衍生品行业监管动态

meaningful access controls, intentionally avoiding knowing customers’ identities, and

actively concealing the presence of U.S. customers on its platforms, there is no question

that the CFTC will strike hard and aggressively.”

“Today’s proposed resolution of the CFTC’s action against Zhao and his company

makes clear that Binance miscalculated the cost of its corporate strategy of regulatory

evasion,” said CFTC’s Director of Enforcement Ian McGinley. “Binance’s chief

compliance officer’s remark that Binance’s solicitation of U.S. persons would implicate

a chain of events including: ‘CFTC = civil case = pay a fine and settle’ was a poor

business decision.”

“Customer Protection, market integrity, accountability, and deterrence are the

guiding principles of CFTC enforcement actions,” said Gretchen Lowe, CFTC’s

Enforcement Division Principal Deputy Director and Chief Counsel. “In filing this

action last March and with today’s proposed resolution, the CFTC is demanding the

defendants and others who want to operate digital asset platforms meet those principles
by adopting rigorous internal controls and having a culture of the highest level of

compliance, starting at the top of the company.”

Lowe further stated, "The CFTC is achieving this tremendous result due to the

dedication, skill, and hard work of its Enforcement team, and the strong cooperative

relationship CFTC’s Enforcement Division has with its partners at DOJ, FinCEN, and

OFAC.”

Case Background

The proposed order stems from the CFTC complaint filed March 27, against

Binance, its owner and CEO Zhao, and Binance’s former chief compliance officer,

Samuel Lim. [See CFTC Press Release No. 8680-23] The CFTC complaint charged

Binance with, among other things, illegally offering and executing commodity

derivatives transactions to and for U.S. customers, and accepting funds from those

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