Page 700 - 《期货和衍生品行业监管动态》（2022年合集）
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期货和衍生品行业监管动态
The complaint alleges that from at least May 2019 through November 11, 2022,
Bankman-Fried controlled both FTX.com, a centralized digital asset derivative
platform, and Alameda, a digital asset trading firm that operated as a primary market
maker on FTX. As charged, FTX held itself out as “the safest and easiest way to buy
and sell crypto” and represented that customers’ assets, including both fiat and digital
assets including bitcoin and ether, were held in “custody” by FTX and segregated
from FTX’s own assets. To the contrary, FTX customer assets were routinely
accepted and held by Alameda and commingled with Alameda’s funds. Alameda,
Bankman-Fried, and others also appropriated customer funds for their own operations
and activities, including luxury real estate purchases, political contributions, and
high-risk, illiquid digital asset industry investments. The complaint further alleges that,
at Bankman-Fried’s direction, FTX employees created features in the FTX code that
favored Alameda and allowed it to execute transactions even when it did not have
sufficient funds available, including an “allow negative flag” and effectively limitless
line of credit that allowed Alameda to withdraw billions of dollars in customer assets
from FTX. These features were not disclosed to the public.
In its continuing litigation against the Defendants, the CFTC seeks restitution,
disgorgement, civil monetary penalties, permanent trading and registration bans, and a
permanent injunction against further violations of the Commodity Exchange Act
(CEA) and CFTC regulations, as charged.
The CFTC cautions that orders requiring repayment of funds to victims may not
always result in the recovery of lost money because the wrongdoers may not have
sufficient funds or assets.
Parallel Criminal/Civil Enforcement Action
In a parallel, separate action, on December 13, 2022, the United States Attorney
for the Southern District of New York unsealed an indictment charging
Bankman-Fried with wire fraud, commodities fraud, securities fraud, and money
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