Page 599 - 《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 UK FCA diligently pursued and obtained information from United
Kingdom-based traders on behalf of the CFTC during an investigation of certain

crude oil trading on a U.S. derivatives exchange, which is a CFTC designated contract

market. On November 2, the Court of Appeal of England and Wales refused

permission for those traders to proceed with a judicial review of the UK FCA’s

decision to assist the CFTC.

“In order to fulfill its mission of promoting the integrity, resilience, and vibrancy

of the U.S. derivatives markets, the CFTC must be able to obtain information from

individuals and entities who are trading on U.S. markets,” said Gretchen Lowe,

Acting Director of the Division of Enforcement. “U.S. derivative markets are

available worldwide, and the Court of Appeal of England and Wales’ decision shows

traders cannot hide from regulatory oversight just because they are overseas. The

CFTC is grateful for the FCA’s efforts to secure this result and its commitment to
cross-border enforcement cooperation.”

Derivatives and securities transactions are increasingly cross-border in nature. As

such, international cooperation is key to ensuring the integrity of the markets in the

U.S. and throughout the world. The CFTC relies on the cooperation of its fellow

domestic and foreign derivatives regulators to effectively investigate violations of the

Commodity Exchange Act that involve cross-border conduct or misconduct by market

participants located abroad.

The UK FCA has been assisting the CFTC Division of Enforcement to obtain

records of certain traders located in the UK who have refused to produce records

requested by the UK FCA on behalf of the CFTC. The traders have challenged the

UK FCA’s authority to obtain the records in assistance to the CFTC. This ruling ends

those traders request to proceed with a judicial review of the UK FCA’s decision to

assist the CFTC.

https://www.cftc.gov/PressRoom/PressReleases/8619-22

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