Page 51 - 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

Division of Enforcement Performance Highlights

The Division of Enforcement (DOE) FY 2022 performance is reflected in the

enforcement actions it filed and the litigation and cooperative enforcement successes

it achieved.

The CFTC’s 82 enforcement actions included the following, among others:

Digital Asset-Related Actions

In Fiscal Year 2022, the Commission brought 18 actions involving conduct

related to digital assets, representing more than 20% of all actions filed during FY

2022. Through those actions, the Commission charged manipulation of the Digitex

Futures native token; charged a decentralized autonomous organization (DAO);

addressed failures to register or seek designation as a designated contract market

(DCM), swap execution facility (SEF) or futures commission merchant (FCM); and
took on fraud, including a $1.7 billion fraudulent scheme.

 The CFTC charged defendants, who operated a digital asset

exchange under the trade name “Digitex Futures,” with illegally offering

futures transactions on a platform other than a DCM and also with attempting

to manipulate the price of the Digitex Futures native token and failing to

implement a Customer Identification and Anti-Money Laundering program.

 The CFTC charged defendants with commodity pool fraud, among

other violations, arising from defendants’ acceptance of at least 29,421

Bitcoin—with a value of over $1,733,838,372—from approximately 23,000

non-ECPs from the United States.

 The CFTC charged a DCM with, directly and through others,

making false or misleading statements of material facts, or omitting to state
material facts, to the CFTC during an evaluation of the potential

self-certification of a bitcoin futures contract. The proposed bitcoin futures

contract was to be settled by reference to the spot bitcoin price on the

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