Page 543 - 《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
从举报线索、成功的执法行动和举报人奖励来看，“吹哨人项目”对 CFTC 执
法部的重要性持续增加。2022 财年，CFTC 吹哨人项目创造了历史，向单个举报
人颁发了近 2 亿美元的奖金，打破了记录，这是 CFTC 和 SEC 根据《多德-弗兰
克法案》颁发的最高额的举报人奖金。对应于这项奖金和 2022 财年期间颁发的
其他奖金，所有与举报人有关的执法案件中的处罚总额超过了 30 亿美元的里程
碑。
CFTC 执法部（DOE）工作组（DOE Task Forces）
CFTC 还继续发挥 DOE 专门工作组在复杂和发展中的项目领域的作用，以
确保执法统一性，形成最佳做法，并根据经验教训创新执法手段和思路。这些专
门工作组集中在七个主要领域：1）幌骗和操纵交易；2）数字资产；3）内幕交
易和保密信息的保护；4）《银行保密法》；5）互换；6）贿赂；以及 7）婚恋
诈骗。
CFTC Releases Annual Enforcement Results (2022/10/20)
The Commodity Futures Trading Commission today released the agency’s
enforcement results for Fiscal Year 2022 that demonstrates its continued commitment
to protecting customers and ensuring market integrity. In FY 2022, the CFTC
obtained orders imposing over $2.5 billion in restitution, disgorgement and civil
monetary penalties either through settlement or litigation. In the agency’s efforts to
prevent fraud, manipulation, reporting, supervision and misconduct related to digital
assets, the CFTC filed 82 enforcement actions and continued to devote significant
resources to litigating complex cases and achieved several litigation successes during
the fiscal year.
“In the face of unprecedented financial market conditions directly impacting
American consumers, emerging technological disruption, and growing retail investor
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