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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
orchestrating a scheme to defraud.
The court entered consent orders of judgment on liability against Wang and
Ellison on December 23, 2022. In a related case, the court entered a consent order of
judgment as to liability and partial injunctive relief against Nishad Singh, a third FTX
insider, on April 13, 2023.
The consent order resolves the CFTC’s litigation against FTX, leaving the case
pending as to the four individual defendants including Bankman-Fried. In its
continuing litigation, the CFTC seeks restitution to defrauded victims, disgorgement
of ill-gotten gains, civil monetary penalties, permanent trading and registration bans,
and permanent injunctions against further violations of the CEA and CFTC
regulations, as charged.
https://www.cftc.gov/PressRoom/PressReleases/8938-24
8. 美國(guó)商品期貨交易委員會(huì)因一家得克薩斯州的公司未依法注冊(cè)為介紹經(jīng)紀(jì)
人命令其支付 10 萬(wàn)美元罰款（2024 年 8 月 12 日）
美國(guó)商品期貨交易委員會(huì)（CFTC）發(fā)布命令，同時(shí)對(duì)德克薩斯州的公司 Cost
Management Solutions, LLC（CMS）提起指控并達(dá)成和解。該命令認(rèn)定被告未注
冊(cè)為介紹經(jīng)紀(jì)人（IB），并要求其支付 10 萬(wàn)美元的民事罰款。此外，CFTC 還命
令 CMS 停止進(jìn)一步違反《美國(guó)商品交易法》（CEA）的行為。
案件背景
命令認(rèn)定，從 2018 年 5 月至今，CMS 未經(jīng)注冊(cè)以介紹經(jīng)紀(jì)人的身份為其客
戶招攬和接受互換及期權(quán)交易指令。CMS 主要為能源商品（包括丙烷、取暖油
和原油）進(jìn)行經(jīng)紀(jì)交易。CMS 的介紹經(jīng)紀(jì)人活動(dòng)包括：確定交易對(duì)手方、價(jià)格
發(fā)現(xiàn)、交易談判以及執(zhí)行交易。CMS 沒有接受任何金錢、證券或財(cái)產(chǎn)來為這些
交易提供履約保障。CMS 通過其經(jīng)紀(jì)服務(wù)從客戶處收取費(fèi)用。
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