Page 29 - 期货和衍生品行业监管动态（2024年1月）

期货和衍生品行业监管动态

civil monetary penalties, permanent trading and registration bans, and a permanent

injunction against further violations of the Commodity Exchange Act (CEA) and

CFTC regulations, as charged.

Case Background

The complaint alleges that in October and November 2021, the defendant

engaged in a series of illegal transactions on the Chicago Board of Trade involving 33

non-competitive, fictitious sales of 410 futures contracts. Through this illegal scheme,

Bao coordinated the transfer of at least $159,000 from the account of his cousin,

“Trader A,” to his own account.

The complaint alleges Bao and Trader A worked in tandem, closely coordinated

their trading, and synchronized their fictitious sales by communicating in real time

about their bids and offers. Bao and Trader A intentionally entered orders during

periods of low overall trading volume with the express purpose of finding and

matching each other’s orders on the Chicago Board of Trade’s Globex platform. Bao

intentionally engaged in this trading activity that lacked both price competition and

market risk for the sole purpose of passing funds from Trader A’s account to Bao’s

account. By engaging in this conduct, he violated the fictitious sales provisions of the
CEA and CFTC regulations.

https://www.cftc.gov/PressRoom/PressReleases/8848-24

7. 美国商品期货交易委员会指定 IMX Health, LLC 为合约市场（2024 年 1 月

18 日）

美国商品期货交易委员会（CFTC）宣布，其已向 IMX Health, LLC 发出指

定行政令（Order of Designation），许可其为指定合约市场（DCM）。IMX Health

是一家在特拉华州注册、总部位于伊利诺伊州芝加哥市的有限责任公司。

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