Page 50 - 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 Commodity Futures Trading Commission today released the agency’s
enforcement results for Fiscal Year 2022 that demonstrates its continued commitment

to protecting customers and ensuring market integrity. In FY 2022, the CFTC

obtained orders imposing over $2.5 billion in restitution, disgorgement and civil

monetary penalties either through settlement or litigation. In the agency’s efforts to

prevent fraud, manipulation, reporting, supervision and misconduct related to digital

assets, the CFTC filed 82 enforcement actions and continued to devote significant

resources to litigating complex cases and achieved several litigation successes during

the fiscal year.

“In the face of unprecedented financial market conditions directly impacting

American consumers, emerging technological disruption, and growing retail investor

participation, the CFTC continues its unwavering commitment to a robust

enforcement program ensuring the markets we oversee are open, transparent, fair and
competitive,” said Chairman Rostin Behnam. “This FY 2022 enforcement report

shows the CFTC continues to aggressively police new digital commodity asset

markets with all of its available tools. I personally thank the Enforcement Division’s

hardworking and dedicated leadership team and staff.”

“As evidenced by the FY 2022 enforcement results, whether measured by the

number of new enforcement actions filed or the many hard-fought successful

litigations, the Enforcement Division staff’s dedication to protecting customers,

ensuring the integrity of the markets, and holding market participants and registrants

accountable is unwavering.” said Acting Director of Enforcement Gretchen Lowe.

“The Enforcement Division demonstrated its professionalism, expertise and skill

through the breadth, complexity and importance of the investigations conducted, the

cases filed, and the successes achieved.”

Below are performance highlights from FY 2022. In addition, Addendum A
includes a table summary of the FY 2022 actions; a list of all FY 2022 actions; and a

list of those FY 2022 actions that involved digital asset-related conduct.

40