Page 16 - 《期货和衍生品行业监管动态》（2022年合集）
P. 16
期货和衍生品行业监管动态
案件背景
行政令具体查明，在 2014 年 2 月至 2021 年 7 月期间，ED&F Man 未准确向
SDR 报告成千上万笔互换交易的数据。从 2014 年 2 月到 2018 年 1 月，ED&F Man
没有向其美国互换交易对手方披露，代表其关联公司进行自营交易的交易员能够
获取到该对手方的交易信息。此外，从 2014 年 2 月到 2021 年 4 月，ED&F Man
未按要求向其部分交易对手方披露中间市场报价。同时也发现，ED&F Man 未能
建立健全内部监督机制并在互换数据报告、利益冲突披露和提供中间市场报价等
方面履行其监督义务。
CFTC Orders London-Based Swap Dealer to Pay $3.25 Million for Swap-Data
Reporting, Conflicts of Interest, Mid-Market Mark, and Supervision Failures
（2022/3/15）
The Commodity Futures Trading Commission today simultaneously filed and
settled charges against ED&F Man Capital Markets, Ltd.(ED&F Man), a
London-based provisionally registered swap dealer, for failing to comply with certain
swap dealer requirements to report accurate swaps data to a swaps data repository
(SDR), failing to disclose a conflict of interest to swaps counterparties, failing to
disclose mid-market marks to counterparties, and for related supervision failures.
The order imposes a $3,250,000 civil monetary penalty on ED&F Man and
orders it to cease and desist from further violations of the Commodity Exchange Act
and CFTC regulations, as charged.
“The CFTC will not hesitate to bring cases against swap dealers that violate
substantive customer protection regulations and fail to have adequate supervisory
controls in place,” said CFTC Acting Director of Enforcement Vincent McGonagle.
“Swap dealer registrants must ensure they make complete and accurate disclosures to
counterparties and accurately report swap valuation data to SDRs, and they must also
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