Page 301 - 《期货和衍生品行业监管动态》（2022年合集）
P. 301
期货和衍生品行业监管动态
pooled and used most of the funds to trade commodity interests in his personal trading
account, where he lost more than $8.3 million trading. He used other participant funds
for personal expenditures.
Parallel Criminal Action
In a separate action, the U.S. Attorney’s Office for the Western District of Texas
filed a criminal complaint against Seibert on June 3, 2021, charging him with two
counts of wire fraud and engaging in monetary transactions in property derived from
unlawful activity. Seibert pled guilty and was sentenced on December 7, 2021 to 70
months of incarceration and three additional years of supervised release. He was also
ordered to pay restitution of $10,794,508 and was subject to a criminal forfeiture.
https://www.cftc.gov/PressRoom/PressReleases/8554-22
8. 美国商品期货交易委员会委员 Kristin Johnson 就新的被列入“RED 名单”的
实体发表声明
CFTC“RED List”告诫美国消费者：提高警惕，谨慎交易 （2022 年 7 月 14 日）
CFTC 将 34 个未注册的外国实体添加至其未注册名单（RED List）上。CFTC
于 2015 年推出 RED List，旨在努力提高信息透明度，并列出可能在受监管市场
上运营但尚未进行适当注册的外国实体。
在当前的全球市场上，在美国境外经营的外国实体可能只需在智能手机上进
行简单操作就能通过电子邮件、短信、即时信息、聊天应用程序或社交媒体接触
到潜在的美国客户，并吸引他们进行投资、转移或存入资金，或通过在美国境外
创建和维护的平台进行交易。CFTC 时常会发现有组织的欺诈者利用这些技术和
监管的空白来侵害美国消费者的利益。
255
回 到 首 页 回 到 目 录
