Page 696 - 《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

CFTC 代理执法主任 Gretchen Lowe 表示：“这一执法行动表明了 CFTC 积极

侦查非法幌骗行为的决心，尤其是当交易员试图实施跨品种的幌骗来避免被发现

时。”

案件背景

行政令查明，一名当时受雇于 Walleye 的交易员在 2018 年 12 月至 2019 年 5

月期间，在大豆期货、豆粕期货、豆油期货交易中，为使其在不同大豆品种（跨

品种幌骗）、不同到期月份（跨日期幌骗）或在同一到期月份的同一品种（单一

品种幌骗）的市场反向报单得到填补，而进行了数百次幌骗行为（一种以在成交

前撤销该报单为目的的买单或卖单行为）。行政令查明，该交易员在为 Walleye

进行交易时从事了幌骗行为，该公司对此负有转乘责任。

CFTC Orders Minnesota Registrant to Pay $550,000 for Cross-Product,

Cross-Calendar, and Single-Product Spoofing in Soybean Complex Futures

(2022/12/12)

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges against Walleye Capital LLC (Walleye), a

CFTC-registered commodity pool operator (CPO) and commodity trading advisor

(CTA), headquartered in Minnesota, for spoofing by a former trader in soybean

futures, soybean meal futures, and soybean oil futures on the Chicago Board of Trade

(CBOT), a futures exchange and designated contract market owned and operated by

the CME Group Inc. (CME Group).

The order finds Walleye vicariously liable for the conduct of its former trader

and requires the company to pay a $550,000 civil monetary penalty.

“This enforcement action demonstrates the CFTC’s commitment to vigorously
detect unlawful spoofing conduct, particularly when traders seek to avoid detection by

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