Page 703 - 《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

在 9 月 1 日，美国纽约南区检察官办公室宣布在同一法院对 Phillips 提起刑

事指控起诉书，其所指控的行为与 CFTC 的指控类似。

CFTC Charges Commodity Pool Operators and Their Co-Chief Investment

Officer with Deception and Manipulation in Connection with Swaps and

Supervision Failures (2022/12/15)

The Commodity Futures Trading Commission today filed a civil enforcement

action in the U.S. District Court for the Southern District of New York against Glen

Point Capital Advisors LP and Glen Point Capital LLP (collectively, Glen Point

Capital), two CFTC-registered commodity pool operators, and their Co-Founder and

Co-Chief Investment Officer, Neil Phillips, charging them with engaging in a

deceptive and manipulative scheme to illegally trigger payouts on two large binary

option contracts. Additionally, the defendants are charged with failing to supervise the
trading activities of their officers, employees, and agents.

In its continuing litigation, the CFTC seeks, among other relief, civil monetary

penalties, disgorgement of any ill-gotten gains, permanent trading and registration

bans, and a permanent injunction against further violations of the Commodity

Exchange Act (CEA), as charged.

“Manipulative and deceptive conduct undertaken in connection with swaps

harms market integrity and market participants, and we will take action to hold those

who commit this type of misconduct accountable,” said Acting Director of

Enforcement Gretchen Lowe.

Case Background

The complaint alleges that the option contracts at issue, which are swaps under

the CEA, were tied to the U.S. dollar (USD) to South African rand (ZAR) exchange

rate. Under their terms, if the USD/ZAR exchange rate fell below certain levels at any
point during the life of the contracts, the contracts would pay out predetermined

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