Page 76 - 《期货和衍生品行业监管动态》（2022年合集）
P. 76
期货和衍生品行业监管动态
正如法庭令中所述，被告知道，在 Fintech 获得美国期货业协会（NFA）对
其披露文件的批准前，客户不能合法使用 ART。然而，在 Fintech 申请 NFA 批
准前，被告就已经对外销售 Compcoin。虽然被告极力宣传 ART 的成果，但他们
清楚地知道，在招揽文件中所提及的 ART 的表现结果，主要或完全是基于假设，
而非真实交易。此外，Compcoin LLC 的网站和招揽活动中并未包含所要求的关
于模拟或假设业绩的免责声明。最终，NFA 并未批准 Fintech 的风险披露声明，
而 Compcoin 的购买者也从未如约获得所谓的高利润外汇交易算法。相反，
Compcoin 的购买者仅剩一个毫无价值的数字资产。
CFTC 提示，法庭令要求对受害人的资金偿还可能无法弥补所有的损失，因
为违法者没有足够的资金或资产。CFTC 将继续坚决为投资者保护做出努力并追
究不法者的责任。
Florida-Based Companies and Their Owner Settle Mid-Trial for $1.8 Million for
Fraudulent Forex and Digital Asset Scheme（2022/4/7）
The Commodity Futures Trading Commission today announced the U.S. District
Court for the Middle District of Florida entered an order for permanent injunction,
monetary sanctions, and equitable relief against Alan Friedland of Florida and his
Florida-based companies, Fintech Investment Group, Inc. (Fintech), and Compcoin
LLC, for fraudulently soliciting customers to purchase a digital asset they falsely
promised would allow customers to gain access to a proprietary foreign currency
(forex) trading algorithm.
The order requires the defendants to pay $1,200,000 in restitution and a
$600,000 civil monetary penalty. In addition, the order imposes a permanent ban on
Friedland, Compcoin LLC, and Fintech from soliciting or trading in commodity
interests or registering with the CFTC in any capacity.
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