Page 12 - 期货和衍生品行业监管动态（2022年10月）

期货和衍生品行业监管动态

exclusively, Treasury futures contracts—on the Chicago Mercantile Exchange
(CME).

The order against Chen requires him to pay a $150,000 civil monetary penalty;

suspends him for six months from trading on or subject to the rules of any

CFTC-designated exchange and all other CFTC-registered entities and in all

commodity interests; and orders him to cease and desist from violating the

Commodity Exchange Act’s spoofing prohibition. In addition, the order against

Tanius requires it to pay a $600,000 civil monetary penalty.

“This enforcement action demonstrates the CFTC will not tolerate acts of

spoofing, which threaten the integrity of the derivatives markets, and will hold

accountable both individual traders and the firms that employ them,” said Division of

Enforcement Acting Director Gretchen Lowe.

Case Background

The order against Chen, who was a Tanius employee at the time, finds that he

engaged in spoofing (bidding or offering with the intent to cancel the bid or offer

before execution) on over 1,000 separate occasions from October 1, 2020 to June 30,

2021 in 12 CME futures contracts—primarily Treasury futures contracts. The order

against Tanius finds the firm vicariously liable for Chen’s spoofing, which Chen

engaged in while trading for Tanius.

https://www.cftc.gov/PressRoom/PressReleases/8595-22

2. 美国商品期货交易委员会命令德克萨斯州商品交易顾问因其未按规定注册为

互换交易设施支付罚款 20 万美元（2022 年 9 月 26 日）

美国商品期货交易委员会（CFTC）签发行政令对总部位于德克萨斯州休斯

顿的注册商品交易顾问 Asset Risk Management, LLC（ARM）未按规定注册为互

换交易设施（SEF）提起指控并达成和解。该行政令要求 ARM 支付 20 万美元民

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