Page 535 - 《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

A prior order entered by the court approved a pro rata distribution plan
recommended by both the CFTC and SEC, and proposed by the receiver. Under the

court-approved plan, the receiver made an initial distribution of approximately $792

million to investors, mostly institutions, such as state and county pension funds,

private pension funds, and university foundations. Three additional court-approved

partial distributions have since taken place, and a final distribution completed the

process resulting in victims of the fraudulent scheme obtaining a return of all of their

approved claims.

Both Greenwood and Walsh eventually pleaded guilty to criminal violations in

the related criminal action, agreed to consent forfeiture judgments of approximately

$85 million and $50 million, respectively, and served approximately five years and

four years in federal prison, respectively. In the civil proceedings filed by the CFTC

and SEC, both Greenwood and Walsh ultimately agreed to consent orders of
permanent injunction that enjoined them from any ongoing violations and further

imposed permanent trading and registration bans.

https://www.cftc.gov/PressRoom/PressReleases/8609-22

13. 美国商品期货交易委员会发布年度执法成果（2022 年 10 月 20 日）

美国商品期货交易委员会（CFTC）发布 2022 财年执法成果，以表明其始终

致力于保护客户和维护市场诚信。2022 财年，CFTC 通过和解或诉讼方式实现了

超过 25 亿美元的赔偿金、违法所得和民事罚款。CFTC 在尽力防止出现欺诈、

操纵、报告、监督和数字资产相关不当行为的过程中，执法立案 82 件，持续投

入大量资源对复杂案件提起诉讼，并在本财年的多起案件中胜诉。

CFTC 主席 Rostin Behnam 表示：“面对直接影响美国消费者的前所未有的金

融市场状况、新兴技术干扰和散户投资者增加，CFTC 继续坚定不移地致力于实

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