Page 212 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

保受 CEA 约束的交易的金融诚信、保护市场参与者、阻止和防止价格操纵和任

何其他破坏市场诚信的行为，并促进负责任的创新等在内的法律所赋予的使命。

CFTC Charges Gemini Trust Company for Making Material False or

Misleading Statements and Omissions to the Commission (2022/6/2)

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

Gemini Trust Company, LLC (Gemini), based in New York, N.Y., for making false

or misleading statements of material facts or omitting to state material facts to the

CFTC in connection with the self-certification of a bitcoin futures product. The CFTC

seeks disgorgement of ill-gotten gains, civil monetary penalties, injunctions relating to

registration and trading, and an injunction against further violations of the Commodity

Exchange Act (CEA), as charged.

“Making false or misleading statements to the CFTC in connection with a futures
product certification undermines the CFTC’s work to ensure the financial integrity of

all transactions subject to the CEA, protect market participants, deter and prevent

price manipulation, and promote responsible innovation and fair competition,” said

Acting Director of Enforcement Gretchen Lowe. “This enforcement action sends a

strong message that the Commission will act to safeguard the integrity of the market

oversight process.”

Case Background

The complaint alleges that from approximately July 2017 to around December

2017, Gemini, directly and through others, made false or misleading statements of

material facts, or omitted to state material facts, to the CFTC during an evaluation of

the potential self-certification of a bitcoin futures contract by a designated contract
market (DCM). The proposed bitcoin futures contract was to be settled by reference to

the spot bitcoin price on the relevant day as determined by an auction held on
Gemini’s digital asset trading platform (Gemini Bitcoin Auction).

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