Page 18 - 期货和衍生品行业监管动态（2022年7月）

期货和衍生品行业监管动态

employees’ handling of exchange fees charged to customers. The order requires
Interactive Brokers to cease and desist from violating the CFTC regulation addressing

supervision, pay $710,828.14 in disgorgement with credit for money paid to affected

customers, and pay a $300,000 civil monetary penalty.

Case Background

According to the order, from approximately January 2015 to December 2021,

Interactive Brokers failed to ensure that its employees accurately assessed exchange

fees for customer trades. Specifically, Interactive Brokers failed to implement

necessary changes to exchange fee schedules, and thus charged customers executing

certain spread trades the non-member exchange fee applicable to outright trades.

Although Interactive Brokers charged customers the higher fee, it paid the exchange

the lower fee applicable to spread trades. As a result, Interactive Brokers overcharged
its customers a total of $710,828.14. Interactive Brokers represents that where it

confirmed that a current customer was overcharged, it refunded the amount of the

overage. Interactive Brokers also notified former affected customers about how to

obtain their overage refund.

https://www.cftc.gov/PressRoom/PressReleases/8550-22

4. 美国商品期货交易委员会指控南非基金管理人及其首席执行官实施了 17 亿

美元涉及比特币的欺诈计划

此次诉讼是 CFTC 历史上最大的涉及比特币的欺诈计划案件 （2022 年 6 月 30

日）

CFTC 在美国德克萨斯州西区地方法院提起民事执法诉讼，指控南非共和国

西开普省斯泰伦博斯的 Cornelius Johannes Steynberg 和根据南非共和国法律成立

并运营的公司 Mirror Trading International Proprietary Limited（MTI）存在欺诈和

违反注册规定的行为。Steynberg 通过 MTI 创建并经营一个全球外汇商品基金，

7