Page 516 - 《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

此外，大约从 2017 年 11 月到至少 2022 年 8 月，CX 未向互换数据报告库（SDR）

报告上述也被视为互换（swap）交易的一些数据，因此同时违反了 CFTC 的互换

交易报告规则。

行政令还查明，在 2017 年，CX 在关于其 SDR 报告义务的不行动函的申请

中，向 CFTC 工作人员谎称它正在按照 CFTC 期权交易报告规定的要求向 CFTC

报告数据，并将持续进行报告。事实上，CX 应该知道自己在提出申请时没有报

告这些数据，而且直到 2020 年 6 月左右其才向 CFTC 报告这些数据。

在接受 CX 的和解申请时，CFTC 认可了其在执法部门调查此事期间提供了

实质性配合。CFTC 表示以减少民事罚款的形式认可了 CX 的合作和补救措施。

CFTC Orders Designated Contract Market to Pay $6.5 Million for System
Safeguard, Reporting, and False Statement Violations (2022/9/29)

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges against CX Futures Exchange, L.P. (CX), a

designated contract market headquartered in New York, N.Y., for violations of the

Commodity Exchange Act (CEA) and CFTC regulations relating to system safeguards,

swap reporting, option reporting, and a giving a false statement to the CFTC.

The order requires CX to pay a $6.5 million civil monetary penalty, cease and

desist from violating the applicable provisions of the CEA and CFTC regulations, and

comply with certain conditions and undertakings, including that CX back-report all

required swap reporting data.

“The Commission’s system safeguard regulations are critical for protecting the

security of the financial markets,” said Acting Director of Enforcement Gretchen
Lowe. “The CFTC will continue to promote the safety and reliability of our markets

by ensuring that all designated contract markets comply with these rules.”

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