Page 84 - 《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

misrepresented how he managed risk in the Catalyst Hedged Futures Strategy Fund.
The jury found Walczak not liable for violations of CEA Sections 4o(1)(A) and 6(c)(1)

and CFTC Regulation 180.1. Further proceedings will follow regarding sanctions.

“True and accurate disclosures are critical to investor protection,” said Acting

Director of Enforcement Vincent McGonagle. “As we said at the outset of this case,

the CFTC is committed to holding accountable individuals that misstate the risks of

investing in their products.”

For the trial, the CFTC’s case was consolidated with a Securities and Exchange

Commission (SEC) action against Walczak relating to the same conduct. The CFTC

thanks the SEC and its staff for their hard work and cooperation through the

consolidated trial.

The Division of Enforcement staff members responsible for this action are Sam

Wasserman, Peter Janowski, Meredith Borner, David Acevedo, Michael Cazakoff,
John Buffington, Shantel Ogbuagu, Shelley Evans, and former staff member, Candice

Aloisi. The trial team was also assisted by trial technician Dawn Miller.

https://www.cftc.gov/PressRoom/PressReleases/8515-22

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