Page 385 - 《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
“The CFTC is committed to maintaining the integrity of the markets and
protecting customers,” said Acting Director of Enforcement Gretchen Lowe. “As we
said at the outset of this case, the illegal use of inside or confidential information
undermines confidence in markets and will not be tolerated.”
The CFTC presented numerous witnesses and documentary evidence, including
instant message chats and trade data, to establish Gizienski repeatedly disclosed
customer names and orders, and traded opposite his own customers.
In addition to the jury’s $7.49 million civil monetary penalties award, Senior
Judge Sim Lake imposed a 120-day trading and registration ban on Gizienski. Judge
Lake also ordered EOX to implement adequate policies and procedures within 60
days, and permanently enjoined both defendants from further violations of the CEA.
https://www.cftc.gov/PressRoom/PressReleases/8574-22
11. 美国商品期货交易委员会工作人员将有关资本和财务报告的临时不行动函
适用于外国非银行互换交易商（2022 年 8 月 17 日）
美国商品期货交易委员会（CFTC）市场参与者部门（MPD）宣布其已发布
一份临时不行动函，将 CFTC 工作人员信函第 21-20 号适用位于境外司法管辖区
的非银行互换交易商，这些交易商正在等待 CFTC 有关其资本和财务报告要求可
比性的审查结果。
作为针对非银行互换交易商的资本和财务报告要求的一部分，CFTC 采用了
一个替代性的合规框架，允许所涉及的非银行互换交易商以其本国的资本和财务
报告要求来替代 CFTC 的全部或部分资本和财务报告要求，但前提是 CFTC 认可
其本国要求与 CFTC 的要求相当。
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