Page 30 - 期货和衍生品行业监管动态（2025年9月）
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期货和衍生品行业监管动态
the proposed rulemaking for Parts 37 and 38.
As stated in the notice of withdrawal, the CFTC is withdrawing the proposal to
reconsider how the proposed rules would work given recent changes to the industry,
innovation and evolving market structures.
https://www.cftc.gov/PressRoom/PressReleases/9123-25
10. 美国商品期货交易委员会因交易公司洗售交易行为对其处以 212,500 美元罚
款（2025 年 9 月 17 日）
美国商品期货交易委员会发布命令，对金融服务公司 Shinhan Securities Co.
Ltd.提出指控并达成和解，因其在纽约商品交易所从事洗售交易和非竞争性交易。
根据指控内容，Shinhan 必须支付 212,500 美元的民事罚款，并停止进一步
违反《美国商品交易法》（CEA）和 CFTC 联邦法规的行为。
交易员为具有同一实际受益人的交易账户，对相同数量的同一期货合约近乎
同步作出买卖报价，以提高其买入和卖出以相同或相近价格成交的可能性，并在
执行时对冲交易。通过这种方式，Shinhan 消除了公开竞争市场附带的风险或价
格竞争。
CFTC Sanctions Trading Firm $212,500 for Wash Sales (2025/9/17)
The Commodity Futures Trading Commission today issued an order filing and
settling charges against Shinhan Securities Co. Ltd., a financial services company,
for engaging in wash sales and non-competitive transactions on NYMEX.
Shinhan is required to pay a $212,500 civil monetary penalty and cease and
desist from further violations of the Commodity Exchange Act and CFTC regulations,
as charged.
The trader entered near-simultaneous bids and offers for the same quantities of
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