Page 549 - 《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

relevant swap counterparties, contrary to the requirements of the CEA and
CFTC regulations; and committed a failure-to-supervise violation.

Other Enforcement Actions: Fraud, Registration, Reporting, Wash Trading,

Position Limit Violations

 The CFTC charged a hedge fund and its CFO with engaging in a

scheme to provide false or misleading material information and failing to

provide such material information to swap counterparties of a private fund it

managed, resulting in the swap counterparties collectively losing over $10

billion.

 In a sweep, the CFTC filed five enforcement actions charging five

entities with operating as unregistered FCMs. The CFTC alleges that all the

respondents claim to be one of the leading platforms offering binary options,

forex and spreads and further claim to be regulated by the CFTC.

 The CFTC alleged defendants defrauded at least 14,0000 retail forex

customers worldwide and misappropriated at least $4.7 million of customer

funds.

 The CFTC found that a state-owned entity and its affiliate engaged

in violations involving ICE Cotton No. 2 futures, including wash trading

violations, position limit violations, and reporting failures.

Litigation Victories

The CFTC’s FY 2022 litigation success is further reflected in the following

results:

 After a 5-day trial, the CFTC won a jury verdict against a portfolio

manager finding he engaged in fraud when he misrepresented how he

managed risk in the fund.

 After a 5-day trial, the CFTC won a verdict finding a block trade

broker and AP liable for secretly taking the other side of their customers’

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