Page 708 - 《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

相关指控

CFTC 执法部在第 4:21-cv-5050 号案件中指控 Cody Easterday 和 Easterday

Ranches 违反了《美国商品交易法》（CEA）和监管规定，该案目前正在美国华

盛顿东区地方法院审理。

Cody Easterday 已在就上述计划提起的刑事指控中认罪，并被判处 11 年有期

徒刑。

CFTC Orders Minnesota Futures Commission Merchant to Pay $6.5 Million for

Anti-Money Laundering, Risk Management, Recordkeeping, and Supervision

Violations (2022/12/20)

The Commodity Futures Trading Commission announced today it has issued an
order simultaneously filing and settling charges against registered futures commission

merchant (FCM) CHS Hedging LLC, of Inver Grove Heights, Minnesota, for

anti-money laundering (AML), risk management, recordkeeping, and supervision

violations. These violations are primarily a result of CHS Hedging failing to

implement an adequate AML program, particularly as applied to a futures and options

trading account controlled by one of its customers. In addition, CHS Hedging failed to

implement risk-based limits concerning trading by that customer.

The order requires CHS Hedging to pay a civil monetary penalty of $6.5 million

and to undertake certain remedial measures relating to the violations.

“The Commodity Exchange Act and accompanying regulations require FCMs to

have and actually implement adequate AML and risk management policies and

procedures,” said Acting Director of Enforcement Gretchen Lowe. “These are critical

components to ensure customers are protected from fraud, and the CFTC will not
hesitate to take action and require significant sanctions and remediation.”

Case Background

610
回 到 首 页 回 到 目 录