Page 39 - 期货和衍生品行业监管动态（2022年12月）

期货和衍生品行业监管动态

v. Caroline Ellison, Crim. No. S2 22 Cr. 673 (RA) (S.D.N.Y. 2022)。另外，2022 年

12 月 20 日，美国证券交易委员会（SEC）指控 Ellison 和 Wang 从事证券欺诈行

为。

CFTC Charges Alameda CEO and Alameda and FTX Co-Founder with Fraud

in Action Against Sam Bankman-Fried and his Companies (2022/12/21)

The Commodity Futures Trading Commission today filed fraud charges against

Caroline Ellison, Alameda CEO, and Gary Wang, Alameda and FTX Co-Founder, in

an amended complaint filed in the U.S. District Court for the Southern District of

New York. The CFTC initially filed this fraud action on December 13 against Samuel

Bankman-Fried, FTX Trading Ltd. (FTX), and Alameda Research LLC (Alameda),

charging a fraudulent scheme that caused the loss of over $8 billion in FTX customer

deposits. [See CFTC Press Release No. 8638-22].

The amended complaint charges Ellison and Wang with engaging in a fraudulent
scheme, along with the previously charged defendants. The amended complaint

charges Ellison with fraud and material misrepresentations in connection with the sale

of digital asset commodities in interstate commerce, and charges Wang with fraud in

connection with the sale of digital asset commodities in interstate commerce.

As alleged in the amended complaint, Wang created features in the code

underlying the FTX trading platform that allowed Alameda to maintain an essentially

unlimited line of credit on FTX. As further alleged, at Bankman-Fried’s direction,

FTX executives including Wang created other exceptions to FTX’s standard processes

that allowed Alameda to have an unfair advantage when transacting on the platform,

including quicker execution times and an exemption from the platform’s distinctive

auto-liquidation risk management process. These critical code features and structural

exceptions allowed Alameda to secretly and recklessly siphon FTX customer assets
from the FTX platform.

The amended complaint further charges that, beginning in October 2021, Ellison

was co-Chief Executive Officer (CEO) of Alameda, and later sole CEO and, along

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