Page 546 - 《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 CFTC found the cryptocurrency trading platform, Bitfinex,
engaged in illegal, off-exchange retail commodity transactions in digital

assets with U.S persons and operated as an FCM without registering as

required.

 The CFTC also found Tether Holdings Limited, and others, made

untrue or misleading statements and omissions of material fact in connection

with the U.S. dollar tether token (USDT) stablecoin. The order requires

Tether to pay a civil monetary penalty of $41 million.

 The CFTC charged defendants with illegally offering leveraged and

margined retail commodity transactions in digital assets, such as Ether, DAI,

and others; engaging in activities only registered FCMs can perform; and

failing to adopt a customer identification program as part of a Bank Secrecy
Act compliance program, as required of FCMs.

Manipulative and Deceptive Conduct and Spoofing

 In its largest benchmark manipulation case to date, the CFTC found

that an energy and commodities trading firm, engaged in manipulation and

foreign corruption in the U.S. and global oil markets, including manipulation

or attempted manipulation of four U.S. based S&P Global Platts physical oil

benchmarks and related futures and swaps. The CFTC ordered the firm to

pay $1.186 billion, which consists of the highest civil monetary penalty

($865,630,784) and highest disgorgement amount ($320,715,066) in any

CFTC case.

 CFTC charged defendants engaged in cross-market and single

market spoofing involving CBOT soybean futures and options on soybean

futures.

 The CFTC brought several actions finding spoofing by respondents

in a number of different markets, including gold and silver futures, CME

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