Page 57 - 期货和衍生品行业监管动态（2022年10月）
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期货和衍生品行业监管动态
American Securities Administrators Association (NASAA) charging a precious
metals dealer and its owner for orchestrating a $68 million fraudulent scheme
targeting elderly persons nationwide.
Whistleblower Program
The Whistleblower Program’s importance to the DOE continued to grow in
terms of leads, successful enforcement actions, and whistleblower awards. In FY 2022,
the CFTC’s Whistleblower Program made history by issuing a record-breaking award
of nearly $200 million to a single whistleblower, the largest whistleblower award ever
granted under the Dodd-Frank Act by either the CFTC or Securities and Exchange
Commission. With that award and others issued during FY 2022, the total sanctions
ordered in all whistleblower-related enforcement actions surpassed the $3 billion
milestone.
DOE Task Forces
The CFTC also continued to utilize specialized DOE task forces in complex and
developing program areas to ensure consistency, identify best practices, and develop
new approaches and ideas based on lessons learned. These task forces focused on
seven substantive areas: 1) Spoofing and Manipulative Trading; 2) Digital Assets; 3)
Insider Trading and Protection of Confidential Information; 4) Bank Secrecy Act; 5)
Swaps; 6) Corruption; and 7) Romance Scams.
https://www.cftc.gov/PressRoom/PressReleases/8613-22
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