Page 451 - 《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

CFTC 代理执法主任 Gretchen Lowe 表示：“此次行动反映了 CFTC 正在贯彻

落实 CEA 中的注册要求，以保护市场参与者的利益以及维护市场诚信。”

案件背景

诉状称，大约从 2022 年 7 月至今，这些实体作为期货佣金商从事经营活动，

并声称自己受 CFTC 的监管，但事实上其并未按照 CEA 的要求完成注册。

诉状称，所有被告都声称自己是提供二元期权、外汇和价差交易的领先平台

之一。其中有四个网站还标榜了所谓的客户推荐，声称其在被告这里交易二元期

权收益颇丰。正如诉状所称，这些实体都没有以任何身份在 CFTC 完成注册。

CFTC 强烈敦促公众在投入资金前应核实公司在 CFTC 的注册情况。如果未

注册，客户应当谨慎向该实体提供资金。

CFTC Charges Five Entities for Failing to Register as FCMs (2022/9/22)

The Commodity Futures Trading Commission today announced it has filed

charges against five entities for operating as unregistered futures commission

merchants (FCM). The entities, which claim to be based in either New York, N.Y. or

at the same street address in Los Angeles, California, are Cryptostockoptionstrade Ltd,

Global Smart Option Broker Ltd, Hypertradingoption Ltd, Stockbrokertechniques

Ltd., and SprintTrade. Each complaint seeks an order directing the respondent to

cease and desist from committing violations of the Commodity Exchange Act (CEA)

and CFTC regulations.

“Today’s actions reflect the CFTC’s on-going efforts to enforce the registration

requirements in the Commodity Exchange Act, which safeguard market participants

and maintain market integrity,” said Acting Director of Enforcement Gretchen Lowe.

Case Background

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