Page 28 - 期货和衍生品行业监管动态（2022年6月）

期货和衍生品行业监管动态

which were traded on designated contract markets. According to the order, from
approximately January 2016 through approximately October 2018, Hewko emailed

investors account statements for the Fund, which reported investment gains. However,

all of the purported investment returns contained in the account statements were false.

What little futures trading the Fund did resulted in losses, and proceeds were not

invested in any other manner that generated any returns at all for investors.

The order also finds that Hewko made payments of the Fund assets to various

entities and individuals who were not entitled to such payments. According to the

order, Hewko also made statements to investors about their investments that were not

true, including telling investors their withdrawal requests could not be satisfied

because the Fund assets were “in a trade” (when, in reality, the Fund assets were not

“in a trade” but rather had been dissipated) and telling at least one investor the

investor’s funds were not lost or gone, which also was not true.

Further, the order finds that Hewko solicited funds for participation in a

commodity pool but failed to register with the CFTC as an Associated Person of a

Commodity Pool Operator.

The CFTC cautions that orders requiring repayment of funds to victims may not

result in the recovery of any money lost because the wrongdoers may not have

sufficient funds or assets. The CFTC will continue to fight vigorously for the

protection of customers and to ensure the wrongdoers are held accountable.

https://www.cftc.gov/PressRoom/PressReleases/8546-22

8. 美国商品期货交易委员会因 Starberry Limited 未经注册成为期货佣金商而命

令其支付 137 余万美元 （2022 年 6 月 24 日）

CFTC 签发行政令对 Starberry Limited 在未经注册的情况下开展期货佣金商

（FCM）业务的行为进行立案并达成和解。具体而言，Starberry 接受一位外国客

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