Page 25 - 期货和衍生品行业监管动态（2022年12月）
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期货和衍生品行业监管动态
The order finds Walleye vicariously liable for the conduct of its former trader
and requires the company to pay a $550,000 civil monetary penalty.
“This enforcement action demonstrates the CFTC’s commitment to vigorously
detect unlawful spoofing conduct, particularly when traders seek to avoid detection by
engaging in cross-product spoofing,” said Acting Director of Enforcement Gretchen
Lowe.
Case Background
The order finds a trader, who was employed by Walleye at the time, engaged in
spoofing (bidding or offering with the intent to cancel the bid or offer before
execution) on hundreds of occasions from December 2018 through May 2019 in
soybean futures, soybean meal futures, or soybean oil futures with the goal of
inducing a fill on the trader’s orders placed on the opposite side of the market in
either a different soybean product (cross-product spoofing), a different expiration
month (cross-calendar spoofing), or within the same product and expiration month
(single-product spoofing). The order finds the company vicariously liable for the
trader’s spoofing, which the trader engaged in while trading for Walleye.
https://www.cftc.gov/PressRoom/PressReleases/8637-22
8. 美 国 商 品 期 货 交 易 委 员 会 指 控 Sam Bankman-Fried, FTX Trading 和
Alameda 存在欺诈和重大虚假陈述 （2022 年 12 月 13 日）
美国商品期货交易委员会（CFTC）宣布，其已在美国纽约南区地方法院对
Samuel Bankman-Fried 、FTX Trading Ltd. d/b/a FTX.com （FTX ） 和 Alameda
Research LLC（Alameda）提起诉讼。诉状称，这三名被告在跨州销售数字商品
时存在欺诈和重大虚假陈述行为。此外，诉状称被告的行为造成了超过 80 亿美
元的 FTX 客户保证金损失。
9
