Page 715 - 《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
high-risk, illiquid digital asset industry investments. The amended complaint further
alleges that, at Bankman-Fried’s direction, FTX employees including Wang 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
On December 19, 2022, Ellison and Wang both entered guilty pleas as to
commodities fraud and other charges in a separate, parallel action against them in the
Southern District of New York. United States v. Zixiao Wang, Crim. No. S1 22 Cr.
673 (RA) (S.D.N.Y. 2022); United States v. Caroline Ellison, Crim. No. S2 22 Cr.
673 (RA) (S.D.N.Y. 2022). Also, on December 20, 2022, the Securities and Exchange
Commission charged Ellison and Wang with securities fraud.
https://www.cftc.gov/PressRoom/PressReleases/8644-22
13. 联邦法院命令加利福尼亚州贵重金属公司及其所有者就商品欺诈和违反注
册规定行为支付 3800 万美元（2022 年 12 月 21 日）
美国商品期货交易委员会（CFTC）宣布，加利福尼亚中区联邦地区法院发
布了一份同意令，同意对 Monex 存款公司、Monex 信贷公司、Newport 服务公
617
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