Page 30 - 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

The order specifically finds that from January 2017 to March 2022, as a result of
11 separate reporting systems issues, BGCD failed to report or accurately report

nearly 12,500 swap transactions to the CFTC and/or to the public on its public

website. As a result of three other reporting systems issues during this same time

period, BGCD failed to report real-time transaction and pricing data for over 3,500

transactions to an SDR and further failed to timely submit corrected data to the SDR

for a subset of those transactions. In aggregate, these 14 issues led to BGCD’s failure

to report or accurately report (including both under and over reporting) over 16,000

swap transactions in various products (interest rate, FX, credit, and equities), on

hundreds of trading dates.

The order further finds BGCD had inadequate processes and procedures for

reporting swap transactions and identifying reporting issues as they arose. As a result,

BGCD did not timely identify the majority of these reporting issues. Specifically, over
half of BGCD’s reporting issues were unknown to BGCD for eight months or more,

with two of them being undetected (and uncorrected) for over four years. Moreover,

these persistent and recurring issues, according to the order, show BGCD’s capacity

to capture and transmit accurate and complete trade information to the public and to

the CFTC was deficient. Further, the order finds BGCD was aware it lacked a process

for reconciling its reports with the SEF’s trading activity, but failed to timely

implement a reconciliation process or other policies and procedures to significantly

reduce, if not eliminate, these reporting and publication errors.

https://www.cftc.gov/PressRoom/PressReleases/8604-22

8. 美国商品期货交易委员会指控迈阿密公民和其经营的数字资产衍生品交易平

台为非法期货交易提供便利、未按规定注册以及意图操纵原生代币（2022 年 10

月 3 日）

美国商品期货交易委员会（CFTC）宣布，其已在佛罗里达州南区地方法院
对佛罗里达州公民 Adam Todd 和他控制的四家公司——Digitex LLC, Digitex

20