Page 34 - 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
transactions—not merely as a broker. The order also finds that Powerline, Dohme,
and Wright failed to disclose that Powerline charged clients a markup over the cost at
which Powerline was able to acquire the fuel hedging strategies in the market. These
failures also violated Powerline’s obligation to disclose to clients all fees and conflicts
of interest. In addition, the order finds Dohme liable as a controlling person for
Powerline’s violations.
Moreover, according to the order, Dohme and Wright produced a backdated
letter to CME, to give CME the false impression that a certain disclosure was made to
clients before it actually had been.
The order also finds that Powerline acted as a CTA by offering clients fuel
hedging strategies, but failed to register as such.
The CFTC’s investigation was conducted in conjunction with a parallel inquiry
by the CME Group, which also issued a Notice of Disciplinary Action today where
Powerline agreed to pay a $225,000 fine and to disgorge profits.
https://www.cftc.gov/PressRoom/PressReleases/8559-22
11. 美国商品期货交易委员会批准 AEGIS SEF, LLC 注册为互换交易设施
（2022 年 7 月 20 日）
CFTC 宣布其已向 AEGIS SEF, LLC 发出注册令，批准该公司注册为互换交
易设施（SEF）。AEGIS SEF 是一家总部位于德克萨斯州伍德兰兹的特拉华州有
限责任公司，也是商品交易顾问 AEGIS CTA, LLC 的附属机构。
CFTC 根据《美国商品交易法》（CEA）第 5h 节和 CFTC 监管规定第 37.3(b)
节发布了该注册令。在审查了 AEGIS SEF 的申请和相关材料后，CFTC 确定
AEGIS SEF 证明了其有能力遵守 CEA 以及 CFTC 监管规定中适用于 SEFs 的内
容。
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