Page 14 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2024年9月刊）

期貨和衍生品行業(yè)監(jiān)管動態(tài)

lean hogs futures. He also engaged in other services for clients, including arranging

for transfers to and from his clients’ trading accounts from his clients’ bank accounts

and dealing with margin and credit issues within the trading accounts. Hendershott

did not have a power of attorney or other agreement authorizing him to cause

transactions to be effected with respect to any of the commodity interest accounts on

behalf of which he traded.

The order finds Hendershott was required to register as a CTA because during the

relevant period, he held himself out generally to clients and potential clients as a CTA

and during the course of the preceding 12 months, he furnished commodity trading

advice to more than 15 persons, and he used email, the telephone, and the Internet in

connection with his business as a CTA.

https://www.cftc.gov/PressRoom/PressReleases/8950-24

2. 美國商品期貨交易委員會因瑞士能源交易公司試圖操縱市場命令其支付

4800 萬美元罰款（2024 年 8 月 27 日）

美國商品期貨交易委員會（CFTC）發(fā)布命令，對 TOTSA TotalEnergies Trading

SA（之前被稱為 TOTSA Total Oil Trading SA，簡稱 TOTSA）提起指控并達(dá)成和

解，原因是 TOTSA 試圖操縱 EBOB 相關(guān)期貨合約市場，以便從其衍生品頭寸中

獲利，這違反了《美國商品交易法》（CEA）和 CFTC 聯(lián)邦法規(guī)。TOTSA 未在

CFTC 注冊。

命令要求 TOTSA 支付 4800 萬美元的民事罰款，并停止違反《美國商品交

易法》和 CFTC 聯(lián)邦法規(guī)的行為。

CFTC 執(zhí)法主任 Ian McGinley 表示：“基準(zhǔn)價(jià)格操控是一種古老的手法，許

多公司在多個市場中嘗試過。在過去 20 年中，CFTC 通過發(fā)現(xiàn)和起訴這些相關(guān)

的操縱行為來維護(hù)市場誠信。此次案件涉及對 CFTC 監(jiān)管的汽油期貨合約市場信

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