Page 545 - 《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

addressed failures to register or seek designation as a designated contract market
(DCM), swap execution facility (SEF) or futures commission merchant (FCM); and

took on fraud, including a $1.7 billion fraudulent scheme.

 The CFTC charged defendants, who operated a digital asset

exchange under the trade name “Digitex Futures,” with illegally offering

futures transactions on a platform other than a DCM and also with attempting

to manipulate the price of the Digitex Futures native token and failing to

implement a Customer Identification and Anti-Money Laundering program.

 The CFTC charged defendants with commodity pool fraud, among

other violations, arising from defendants’ acceptance of at least 29,421

Bitcoin—with a value of over $1,733,838,372—from approximately 23,000

non-ECPs from the United States.

 The CFTC charged a DCM with, directly and through others,
making false or misleading statements of material facts, or omitting to state

material facts, to the CFTC during an evaluation of the potential

self-certification of a bitcoin futures contract. The proposed bitcoin futures

contract was to be settled by reference to the spot bitcoin price on the

relevant day as determined by an auction held on Gemini’s digital asset

trading platform (Gemini Bitcoin Auction).

 The CFTC charged respondents who designed, deployed, marketed,

and made solicitations concerning a blockchain-based software protocol that

accepted orders for and facilitated margined and leveraged retail commodity

transactions (functioning similarly to a trading platform). The Commission

found they unlawfully engaged in activities that could only lawfully be

performed by registered FCMs and failed to adopt a customer identification
program as part of a Bank Secrecy Act compliance program, as required of

FCMs.

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