Page 40 - 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

with Bankman-Fried and others, Ellison directed Alameda to use billions of dollars of
FTX funds, including FTX customer funds, to trade on other digital asset exchanges

and to fund a variety of high-risk digital asset industry investments. As further alleged,

Ellison made deceptive public statements in her capacity as Alameda’s CEO,

including statements about the supposed separation between the operations of

Alameda and FTX, in order to facilitate and perpetuate the fraudulent scheme.

Ellison and Wang do not contest their liability on the CFTC’s claims. Both have

agreed to the entry of consent orders of judgment as to their liability for engaging in

fraud in violation of Section 6(c)(1) of the Commodity Exchange Act and CFTC

Regulation 180.1.

“With today’s charges we continue to move aggressively to hold all individuals

who commit fraud accountable and protect customers from additional harm and losses.
In the absence of a comprehensive regulatory framework over digital assets, the

CFTC will use all of its existing power and authority to protect all market participants,

while ensuring the integrity of commodity markets,” said CFTC Chairman Rostin

Behnam.

“Today’s filings also include concessions of liability by two individuals who, as

charged, engaged in significant violations of the Commodity Exchange Act and CFTC

regulations, often at the direction of Bankman-Fried,” added CFTC Acting Director of

Enforcement Gretchen Lowe. “The CFTC will also continue to work cooperatively

with our law enforcement partners in the U.S. and abroad to conduct rapid and

comprehensive investigations to address fraudulent wrongdoing.”

Case Background

The initial complaint and the amended complaint allege that from at least May
2019 through November 11, 2022, Bankman-Fried controlled both FTX.com, a

centralized digital asset derivative trading platform, and Alameda, a trading firm that
operated as a primary market maker on FTX. As charged, FTX promoted itself as “the

safest and easiest way to buy and sell crypto” and represented that customers’ assets,

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