Page 17 - 期货和衍生品行业监管动态（2023年4月）
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期货和衍生品行业监管动态
that operate the Binance platform as a common enterprise. Zhao is alleged to have been
responsible for all major strategic decisions at Binance, including devising the secret
plot to instruct U.S.-based VIP customers to evade Binance’s compliance controls and
instructing Binance employees to ensure all communications about their control
subversion took place over applications that facilitated the automatic destruction of
evidence.
Lim, Binance’s CCO from 2018 through 2022, is charged with willfully aiding
and abetting Binance’s violations through intentional conduct that undermined
Binance’s compliance program. Lim is also charged with conducting activities to
willfully evade or attempt to evade applicable provisions of the CEA, including
promoting the use of “creative means” to assist customers in circumventing Binance’s
compliance controls and implementing a corporate policy that instructed Binance’s U.S.
customers to access the trading facility through a virtual private network to avoid
Binance’s IP address-based controls or create “new” accounts through off-shore shell
companies to evade Binance’s KYC-based controls.
https://www.cftc.gov/PressRoom/PressReleases/8680-23
2. 美国商品期货交易委员会指控中国公民实施欺诈计划与雇主进行交易（2023
年 3 月 28 日）
美国商品期货交易委员会（CFTC）宣布，已向美国伊利诺伊州北区地方法
院提起诉讼，指控中国公民 Dichao Xie 实施欺诈计划，滥用其所知悉的雇主关于
育肥牛（Feeder Cattle）期货和期权交易信息，为谋取个人利益进行交易，违背了
对其雇主的义务。根据诉状，Xie 的交易也构成了《美国商品交易法》（CEA）
和 CFTC 联邦法规中的非法虚假和非竞争性交易。
指控要求对其处以民事罚款、没收所有违法所得、恢复原状、实施永久交易
禁令和注册禁令，以及永久禁令以防止其再次出现违反《美国商品交易法》和
CFTC 联邦法规的行为等救济措施。
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