Page 24 - 期货和衍生品行业监管动态（2025年9月）

期货和衍生品行业监管动态

 对于每一项刑事违法行为，其可能面临的刑事处罚范围及适用的犯罪故

意（主观意图）标准

该政策声明确立了当 CFTC（包括执法部）考虑是否将潜在的刑事违法行为

转介至司法部时应遵循的框架。

本政策声明根据行政令发布，并将刊载于《联邦公报》。此前因 CFTC 未就

授权在《联邦公报》发布形成多数票决议，执法部发布了一份包含委员会采纳的

框架的指导意见（advisory）。在 CFTC 采取这一行动后，该指导意见现已撤销。

CFTC Issues Policy Statement on Referrals for Potential Criminal Enforcement

(2025/9/5)

The Commodity Futures Trading Commission approved a policy

statement describing its plan to address criminally liable regulatory offenses in

accordance with Executive Order 14294, Fighting Overcriminalization in Federal

Regulations.

The policy statement advises the public that the Commission, in consultation

with the Attorney General, will provide the Director of the Office of Management and

Budget a report containing:

 A list of all criminal regulatory offenses enforceable by the Commission or

the Department of Justice.

 For each such criminal regulatory offense, the range of potential criminal

penalties for a violation and the applicable mens rea (state of mind)

standard for the criminal regulatory offense.

The policy statement sets the framework to be followed when CFTC, including

the Division of Enforcement, considers whether to refer potential violations of

criminal regulatory offenses to DOJ.

The policy statement is issued in accordance with the Executive Order and will

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