Page 548 - 《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

Misappropriation of Material Non-Public Information

 The CFTC charged an employee with misappropriating confidential

natural gas block trade order information from his employer and directing

natural gas block trades to a brokerage firm in exchange for a share of the

brokerage commissions charged to his employer for these trades. The

complaint also charged the employee with making false statements to the

CFTC.

 The CFTC charged an introducing broker (IB) and associated person

(AP) with misappropriation of block order information and unauthorized

trading. The CFTC alleged the IB brokered trades without customers'

knowledge or consent; while the AP traded on the opposite side of brokerage

customers, intentionally offered non-true market prices, and misled
customers to believe they were negotiating and trading against third parties.

 The CFTC charged defendants for receiving tipped confidential

block trade order information belonging to an energy company from a trader

at that company, and in turn trading on the basis of this information,

including entering into non-arm’s length, fictitious block trades in natural gas

futures on the basis of this information. The CFTC alleged the scheme

generated over $1.5 million in trading profits, which the defendant shared

with both the energy company trader and the broker involved in the scheme.

Swaps Reporting and Swap Dealer Business Conduct

 The CFTC found a provisionally registered swaps dealer (SD)

committed swaps reporting failures; failed to comply with SD Business

Conduct Standards when it failed to disclose to its swaps counterparties

certain material information; and committed a failure-to-supervise violation.

 The CFTC found a provisionally registered SD committed swaps

reporting violations; adjusted daily mark disclosures being made to the

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