Page 17 - 期货和衍生品行业监管动态（2025年7月）

期货和衍生品行业监管动态

 所涉被告可能从犯罪行为中获取的潜在利益。

 所涉被告是否拥有与相关规则或法规所涉及行业的专业知识、特长或资

质。

 有证据（如有）表明所涉被告对其违法行为具有基本认识，以及对相关

法规是否了解的情况。

 所涉被告是否为累犯或以其他方式从事不当行为。

 司法部介入是否会为衍生品市场参与者提供额外有效保护。

本公告依据行政令第 7 条发布，以替代《联邦公报》刊载的要求。当前 CFTC

未形成多数表决意见授权《联邦公报》刊载。

CFTC Issues Advisory on Referrals for Potential Criminal

Enforcement (2025/7/9)

The Commodity Futures Trading Commission’s Division of Enforcement today

issued an advisory to provide guidance describing its plan to address criminally liable

regulatory offenses in accordance with Executive Order 14294, Fighting

Overcriminalization in Federal Regulations.

The advisory announces the framework to be followed when DOE, as the CFTC
division responsible for making referrals to the Department of Justice, considers

whether to refer potential violations of criminal regulatory offenses to DOJ.

The advisory also includes a set of factors DOE staff should consider when

determining whether to refer alleged violations of criminal regulatory offenses to DOJ.

Those factors include:

 The harm or risk of harm, financial or otherwise, caused by the potential

offense.

 The potential gain to the alleged defendant that could result from the

offense.

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