Page 15 - 期货和衍生品行业监管动态（2022年8月）

期货和衍生品行业监管动态

在了解场外外汇交易商时，检查其注册情况和纪律处分记录尤为重要，这是

因为客户在场外交易中仅与其交易商进行交易。当客户买入时，交易商就是卖方；

当客户卖出时，交易商就是买方。交易商还控制着客户在交易平台和应用程序上
看到的信息，包括价格和账户余额。

3. CFTC Customer Advisory Highlights What Customers Should Know Before

Trading Over-the-Counter Forex

Fraudsters posing as OTC forex dealers take deposits, but refuse withdrawals

(2022/8/2)

The Commodity Futures Trading Commission today issued a customer advisory

warning the public to thoroughly research potential investments in over-the-counter

foreign exchange (OTC forex). The new advisory, Eight Things You Should Know
Before Trading Forex, provides potential investors with eight cautionary tips about

the risks of trading OTC forex. To help protect themselves against fraud, the advisory
encourages potential investors to thoroughly research an OTC forex dealer before

making any deposits or sharing personal information. It also outlines what forex

dealer registration entails, and why it matters, as well as common signs of fraudulent

OTC forex websites.

The CFTC has seen a growing number of complaints from customers who

deposited money into accounts with unregistered retail OTC forex dealers, but later

were unable to withdraw their principal or earnings. There are several tactics

fraudulent dealers commonly use, including, soliciting customers on social media;

requiring payment in bitcoin or other digital assets; manipulating currency prices and

trading results; offering unusually high leverage; and refusing or ignoring customer

withdrawals.

Checking registration and disciplinary histories is especially important when

researching OTC forex dealers because customers trade only against their dealers in
over-the-counter trading. When a customer buys, the dealer is the seller; when a

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