Page 144 - 《期货和衍生品行业监管动态》（2022年合集）
P. 144
期货和衍生品行业监管动态
的交易。嘉能可的行为是有意图的并且最终在现货石油产品和相关衍生品交易中
获得非法竞争优势，从而损害了其交易对手方和其他市场参与者的利益。
正如行政令中所表述的，嘉能可的非法行为涉及其整个石油交易集团的交易
员和其他人员，包括高级交易员、首席（desk heads）和最高至石油集团全球负
责人在内的管理人员，并产生了数亿美元的不当所得。
平行刑事诉讼
美国司法部刑事诈骗部门于今日宣布针对嘉能可分别提起两项独立刑事诉
讼。CFTC 的行政令认可并抵消了嘉能可在这些案件中需要向司法部支付的罚款
及没收金额。英国重大欺诈案件调查局（The U.K. Serious Fraud Office）也宣布
对嘉能可提起单独刑事指控。
CFTC Orders Glencore to Pay $1.186 Billion for Manipulation and Corruption
（2022/5/24）
The Commodity Futures Trading Commission today issued an order filing and
settling charges against Glencore International A.G. of Switzerland, Glencore Ltd. of
New York, and Chemoil Corporation of New York (collectively, Glencore), an energy
and commodities trading firm, for manipulative and deceptive conduct. The conduct,
which spanned from least 2007 to 2018, involved manipulation and foreign corruption
in the U.S. and global oil markets, including manipulation or attempted manipulation
of four U.S. based S&P Global Platts physical oil benchmarks and related futures and
swaps. Glencore is required to pay a total of $1.186 billion, which consists of the
highest civil monetary penalty ($865,630,784) and highest disgorgement amount
($320,715,066) in any CFTC case.
The CFTC’s order finds that Glencore’s manipulative and fraudulent
conduct—including conduct relating to foreign corruption—defrauded its
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