Page 17 - 《期货和衍生品行业监管动态》（2022年合集）
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期货和衍生品行业监管动态
diligently perform their supervisory duties.”
Case Background
Specifically, the order finds that between February 2014 and July 2021, ED&F
Man failed to report certain swaps data to an SDR accurately for hundreds of
thousands of swaps. The order also finds that, from February 2014 through January
2018, ED&F Man failed to disclose to its U.S. swaps counterparties that proprietary
traders, trading on behalf of an affiliate, had access to counterparties’ trade
information. Further, from February 2014 to April 2021, ED&F Man failed to
disclose mid-market marks to some of its counterparties as required for numerous
metals and FX swaps. The order also finds that ED&F Man failed to maintain an
adequate supervisory system and to perform its supervisory obligations diligently with
respect to swaps data reporting, conflict of interest disclosures, and providing
mid-market marks.
https://www.cftc.gov/PressRoom/PressReleases/8501-22
3. 美国联邦法院判令田纳西州和肯塔基州某公民及其公司为其商品期货基金欺
诈行为支付 500 余万美元（2022 年 3 月 22 日）
CFTC 今日公布，美国田纳西州中区地方法院于 2022 年 3 月 16 日作出即决
判决令（summary judgement order）对原田纳西州居民 Rodney Scott Phelps 处以
永久性禁令、罚款和其他衡平法上的救济（equitable relief）。此前，美国田纳西
州中区地方法院对该诉讼中另外两名当事人——肯塔基州的 Jason T. Castenir 和
田纳西州的 Maverick Asset Management（Maverick）作出了缺席判决令。
上述判令中规定的民事罚款和赔偿总额超过 500 万美元，其中包括针对
Phelps 的 42 万美元民事罚款和针对 Castenir 和 Maverick 的 2,461,301 美元民事罚
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