Page 25 - 期货和衍生品行业监管动态（2022年7月）
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期货和衍生品行业监管动态
The order specifically finds that, from September 2015 to February 2020, J.P.
Morgan failed to report approximately 2.1 million short-dated foreign exchange (FX)
swap transactions. These unreported short-dated FX swap transactions represented
approximately fifty-one percent of the total number of FX swaps that J.P. Morgan
executed during that same period.
Short-dated FX swaps are transactions in which the parties exchange two
currencies the day after execution and then reverse that exchange at a predetermined
rate on the following business day. A short-dated FX swap is a reportable FX swap
transaction because it involves an exchange of currencies and a reversal of that
exchange on specific dates and at rates fixed at the inception of the contract.
Consequently, J.P. Morgan was obligated to report its short-dated FX swaps under the
relevant statutory and regulatory provisions, which it failed to do during the relevant
period.
J.P. Morgan has represented that it has reported all of the previously-unreported
FX swaps transactions it was obligated to report.
https://www.cftc.gov/PressRoom/PressReleases/8553-22
7. 美国联邦法院判令德克萨斯州的未注册商品基金管理人为商品基金欺诈行为
支付 1300 余万美元 （2022 年 7 月 7 日）
CFTC 公布，美国德克萨斯州西区地方法院于 7 月 6 日作出同意和解令，对
德克萨斯州莱克韦的 David Seibert 处以罚款。
该同意和解令结束了 CFTC 于 2020 年 9 月 10 日提起的诉讼，并且是基于
2020 年 9 月 15 日法院认定 Seibert 应对欺诈募集和挪用客户资金承担责任的事实
作出的。此外，该命令还永久禁止其进一步违反《美国商品交易法》（CEA），
并对其实施永久注册禁令和交易禁令。此次命令要求 Seibert 向欺诈计划受害者
支付 10,794,508 美元赔偿金，并支付 2,278,853 美元民事罚款。
案件背景
14
