Page 289 - 《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
EmpiresX’s profitable account with a large, well-known electronic trading platform.
The complaint further alleges that in fact, EmpiresX had no account with that
platform, and the defendants had created a fake website designed to mislead
participants into thinking that EmpiresX was actually trading their funds.
As charged, only $1 million of participant funds was sent to a futures trading
account in the name of Empires Consulting, while the majority of participant funds
were misappropriated or lost.
By November 2021, the defendants stopped honoring participant withdrawal
requests. According to the complaint, there is no indication that EmpiresX actually
returned a significant amount of requested funds to any pool participants.
The complaint also charges the defendants with misrepresenting EmpiresX’s
registration status to pool participants. It also alleges that Empires Consulting acted as
a commodity pool operator, and Pires, Goncalves, and Nicholas acted as associated
persons of a commodity pool operator without registering as required.
Parallel Criminal and Civil Actions
Today, in separate actions, the Department of Justice and the Securities and
Exchange Commission (SEC) announced the filing of parallel matters for related
conduct, also in the U.S. District Court for the Southern District of Florida.
https://www.cftc.gov/PressRoom/PressReleases/8551-22
3. 美国商品期货交易委员会命令 Interactive Brokers LLC 为其未有效履行监督
职责的行为支付 100 多万美元 （2022 年 6 月 30 日）
CFTC 签发行政令对注册期货佣金商 Interactive Brokers LLC 提起诉讼并达
成和解，该公司未能勤勉地监督其员工处理向客户收取的交易所费用。该行政令
要求 Interactive Brokers 停止任何违反 CFTC 监管规定中有关监督条款的行为，
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