Page 714 - 《期货和衍生品行业监管动态》（2022年合集）
P. 714
期货和衍生品行业监管动态
Ellison and Wang do not contest their liability on the CFTC’s claims. Both have
agreed to the entry of consent orders of judgment as to their liability for engaging in
fraud in violation of Section 6(c)(1) of the Commodity Exchange Act and CFTC
Regulation 180.1.
“With today’s charges we continue to move aggressively to hold all individuals
who commit fraud accountable and protect customers from additional harm and losses.
In the absence of a comprehensive regulatory framework over digital assets, the
CFTC will use all of its existing power and authority to protect all market participants,
while ensuring the integrity of commodity markets,” said CFTC Chairman Rostin
Behnam.
“Today’s filings also include concessions of liability by two individuals who, as
charged, engaged in significant violations of the Commodity Exchange Act and CFTC
regulations, often at the direction of Bankman-Fried,” added CFTC Acting Director of
Enforcement Gretchen Lowe. “The CFTC will also continue to work cooperatively
with our law enforcement partners in the U.S. and abroad to conduct rapid and
comprehensive investigations to address fraudulent wrongdoing.”
Case Background
The initial complaint and the amended complaint allege that from at least May
2019 through November 11, 2022, Bankman-Fried controlled both FTX.com, a
centralized digital asset derivative trading platform, and Alameda, a trading firm that
operated as a primary market maker on FTX. As charged, FTX promoted itself 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. Bankman-Fried, Ellison, and Wang engaged in a fraudulent scheme
to misappropriate FTX customer assets for use by Alameda and by FTX and Alameda
executives, including luxury real estate purchases, political contributions, and
616
回 到 首 页 回 到 目 录
