Page 713 - 《期货和衍生品行业监管动态》（2022年合集）
P. 713
期货和衍生品行业监管动态
The Commodity Futures Trading Commission today filed fraud charges against
Caroline Ellison, Alameda CEO, and Gary Wang, Alameda and FTX Co-Founder, in
an amended complaint filed in the U.S. District Court for the Southern District of
New York. The CFTC initially filed this fraud action on December 13 against Samuel
Bankman-Fried, FTX Trading Ltd. (FTX), and Alameda Research LLC (Alameda),
charging a fraudulent scheme that caused the loss of over $8 billion in FTX customer
deposits. [See CFTC Press Release No. 8638-22].
The amended complaint charges Ellison and Wang with engaging in a fraudulent
scheme, along with the previously charged defendants. The amended complaint
charges Ellison with fraud and material misrepresentations in connection with the sale
of digital asset commodities in interstate commerce, and charges Wang with fraud in
connection with the sale of digital asset commodities in interstate commerce.
As alleged in the amended complaint, Wang created features in the code
underlying the FTX trading platform that allowed Alameda to maintain an essentially
unlimited line of credit on FTX. As further alleged, at Bankman-Fried’s direction,
FTX executives including Wang created other exceptions to FTX’s standard processes
that allowed Alameda to have an unfair advantage when transacting on the platform,
including quicker execution times and an exemption from the platform’s distinctive
auto-liquidation risk management process. These critical code features and structural
exceptions allowed Alameda to secretly and recklessly siphon FTX customer assets
from the FTX platform.
The amended complaint further charges that, beginning in October 2021, Ellison
was co-Chief Executive Officer (CEO) of Alameda, and later sole CEO and, along
with Bankman-Fried and others, Ellison directed Alameda to use billions of dollars of
FTX funds, including FTX customer funds, to trade on other digital asset exchanges
and to fund a variety of high-risk digital asset industry investments. As further alleged,
Ellison made deceptive public statements in her capacity as Alameda’s CEO,
including statements about the supposed separation between the operations of
Alameda and FTX, in order to facilitate and perpetuate the fraudulent scheme.
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