Page 78 - 《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

performance results and not real trading. The defendants also knew the Compcoin
LLC website and solicitations did not contain the required disclaimer for simulated or

hypothetical performance. Ultimately, the NFA did not approve Fintech’s risk

disclosure statements, and purchasers of Compcoin never gained access to the

supposedly highly profitable forex trading algorithm as promised. Instead, purchasers

of Compcoin were left with a worthless digital asset.

The CFTC cautions that orders requiring repayment of funds to victims may not

result in the recovery of any money lost because the wrongdoers may not have

sufficient funds or assets. The CFTC will continue to fight vigorously for the

protection of customers and to ensure the wrongdoers are held accountable.

https://www.cftc.gov/PressRoom/PressReleases/8510-22

3. 美国联邦法院判令贵金属交易员支付罚金，并对幌骗（Spoofing）和参与欺

诈性或操纵性计划的行为处以交易禁令（2022 年 4 月 7 日）

美国商品期货交易委员会（CFTC）今日公布，美国伊利诺伊州北区地方法

院 Steven C. Seeger 法官对前贵金属交易员 James Vorley 和 Cedric Chanu 违反《美

国商品交易法》（CEA）和 CFTC 监管规定，从事幌骗（Spoofing）和参与欺诈

性或操纵性计划的行为作出了最终判决和同意令(consent orders)。

该判令对每名被告都处以 150,000 美元的民事罚款，五年内禁止与任何依据

规则注册的实体开展交易，禁止向 CFTC 注册任何业务资格，并要求其停止任何

违反 CEA 的行为。判令支持了 CFTC 于 2018 年 1 月 26 日对被告所提出的指控。

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