Page 80 - 《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

the defendants on January 26, 2018.

“This enforcement action demonstrates the CFTC’s commitment to aggressively

pursuing individuals who spoof in our markets,” said CFTC Acting Director of

Enforcement Vincent McGonagle. “As this case shows, we will continue to work

vigorously to hold individuals accountable, and not just the companies that employ

them, for misconduct in our markets.”

Case Background

The orders find that from approximately July 2011 through July 2013, while

employed at Bank A, Vorley and Chanu each placed orders for COMEX gold, silver,

platinum or palladium futures contracts that they wanted to get filled (genuine orders)

and entered orders for the same contract on the opposite side of the market that they

intended to cancel before execution (spoof orders). The orders find that in placing the

spoof orders, Vorley and Chanu intentionally or recklessly sent market participants
signals of greater supply or demand to create the misimpression that the price would

move up or down and to trick market participants to transact on smaller, genuine

orders that they placed on the opposite side of the market. The orders conclude that

the defendants’ conduct constituted spoofing and a deceptive or manipulative scheme

in violation of the CEA and CFTC regulations.

https://www.cftc.gov/PressRoom/PressReleases/8511-22

4. 美国联邦法院判令丹麦公民为其外汇欺诈和挪用资金的行为支付 470 余万美

元（2022 年 4 月 8 日）

美国商品期货交易委员会（CFTC）今日公布，美国纽约南区法院对丹麦公

民 Casper Mikkelsen（又名 Carsten Nielsen、Brian Thomson、Thomas Jensen、Casper

Muller）作出了判令和最终判决，永久禁止其交易商品合约（commodity interests），

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