Page 452 - 《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

The complaints allege that from approximately July 2022 to present, the entities
have operated as FCMs and claim to be regulated by the CFTC, but in fact are not

registered as required by the CEA.

As alleged, all the respondents claim to be one of the leading platforms offering

binary options, forex and spreads. Four of the five websites also tout purported

customer testimonials apparently claiming to have earned significant funds trading

binary options with that respondent. As alleged in the complaints, none of these

entities are registered with the CFTC in any capacity.

The CFTC strongly urges the public to verify a company’s registration with the

CFTC before committing funds. If unregistered, a customer should be wary of

providing funds to that entity.

https://www.cftc.gov/PressRoom/PressReleases/8589-22

9. 美国商品期货交易委员会命令两家加州贵金属公司为其欺诈、非法提供零售

商品交易和违反注册规定的行为支付 100 余万美元罚款（2022 年 9 月 22 日）

CFTC 签发行政令对两家位于加州的公司 Goldline, Inc.（Goldline）和 A-Mark

Precious Metals, Inc.（A-Mark）在场外零售商品交易中的欺诈、未注册为期货佣

金商（FCM），以及从事非法的场外零售商品交易的行为进行立案并同时达成

和解。该行政令要求没收 Goldline 和 A-Mark 的违法所得 627,801.78 美元；连带

支付 450,000 美元民事罚款；并要求其停止违反《美国商品交易法》（CEA）和

CFTC 联邦法规的行为。

案件背景

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