Page 128 - 《期货和衍生品行业监管动态》（2022年合集）
P. 128
期货和衍生品行业监管动态
在不同的诉讼中，美国纽约南区检察官办公室和美国证券交易委员会（SEC）
宣布对相关行为的平行事项提起诉讼。
CFTC Charges Archegos Capital Management and Three Employees with
Scheme to Defraud Resulting in Swap Counterparty Losses Over $10 Billion
Two Archegos Employees Admit Roles in Fraud and Are Cooperatin（2022/4/27）
The Commodity Futures Trading Commission today announced it has filed a
complaint in the U.S. District Court for the Southern District of New York against
Archegos Capital Management, LP (Archegos) and its Chief Financial Officer,
Patrick Halligan, of Syosset, New York, charging them with fraud.
The CFTC also issued two orders simultaneously filing and settling charges
against two Archegos employees, William Tomita of Palm Beach, Florida, formerly
Archegos’ Head Trader; and Scott Becker of Goshen, New York, formerly Archegos’
Director of Risk Management. Tomita and Becker have each admitted their roles in
the scheme and agreed to cooperate with the CFTC.
“Honesty, integrity, and transparency are fundamental to the proper functioning
of our swaps markets,” said Chairman Rostin Behnam. “The CFTC will take action
against those who provide false or misleading information that undermines our
markets.”
“These actions demonstrate the CFTC will continue to work vigilantly to protect
the financial integrity of transactions in the swaps markets,” said Acting Director of
Enforcement Gretchen Lowe. “There is no tolerance for fraud in the derivatives
market, including fraud by family offices like Archegos, which are currently not
subject to direct CFTC oversight.”
Specifically, the complaint charges the defendants with engaging in a scheme to
provide false or misleading material information and failing to provide such material
information to swap counterparties of Archegos Fund, LP, a private fund managed by
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