Page 27 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2024年8月刊）

期貨和衍生品行業(yè)監(jiān)管動態(tài)

同意令了結了 CFTC 對 FTX 的訴訟，但案件仍然對包括 Bankman-Fried 在

內的四名被告處于未決狀態(tài)。在其正在進行的訴訟中，CFTC 尋求對受欺詐的受

害者的賠償、追繳違法所得、民事罰款、永久的交易和注冊禁令，以及永久禁止

進一步違反《美國商品交易法》和 CFTC 聯邦法規(guī)的行為。

CFTC Obtains $12.7 Billion Judgment Against FTX and Alameda (2024/8/8)

Restitution and Disgorgement Damages to Pay Fraud Victims

The Commodity Futures Trading Commission today announced the U.S. District

Court for the Southern District of New York entered a consent order of permanent

injunction and other equitable relief against FTX Trading Ltd. and Alameda Research

LLC (together, FTX) and ordered FTX to pay $12.7 billion in monetary relief to FTX

customers and victims of FTX’s fraud. The order requires FTX to pay $8.7 billion in

restitution and $4 billion in disgorgement, which will be used to further compensate

victims for losses suffered as a result of the massive fraudulent scheme orchestrated

by Samuel Bankman-Fried, his now-bankrupt FTX group of companies, and a core

group of FTX insiders. [See CFTC Press Release Nos. 8638-22, 8644-22, 8669-23].

In addition, the order finds FTX violated the Commodity Exchange Act (CEA)

and CFTC regulations, imposes injunctions against further violations of the CEA and

CFTC regulations as well as trading and registration prohibitions, and requires FTX

and Alameda to cooperate with the CFTC in its ongoing litigation. The order finds

FTX and Alameda made material misrepresentations and omissions to customers. The

court noted that FTX touted itself as “the safest and easiest way to buy and sell

crypto,” and that customer assets, including digital assets such as Bitcoin and Ether,

were held in “custody” by FTX while stating FTX segregated customer assets from

FTX’s own assets as a general principle, when in fact customer funds were

commingled and misappropriated.

In a related settlement agreement approved by the Bankruptcy Court for the

District of Delaware, the CFTC agreed not to seek a civil monetary penalty against

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