Page 17 - 期貨和衍生品行業監管動態（2025年7月）
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期貨和衍生品行業監管動態
? 所涉被告可能從犯罪行為中獲取的潛在利益。
? 所涉被告是否擁有與相關規則或法規所涉及行業的專業知識、特長或資
質。
? 有證據（如有）表明所涉被告對其違法行為具有基本認識，以及對相關
法規是否了解的情況。
? 所涉被告是否為累犯或以其他方式從事不當行為。
? 司法部介入是否會為衍生品市場參與者提供額外有效保護。
本公告依據行政令第 7 條發布，以替代《聯邦公報》刊載的要求。當前 CFTC
未形成多數表決意見授權《聯邦公報》刊載。
CFTC Issues Advisory on Referrals for Potential Criminal
Enforcement (2025/7/9)
The Commodity Futures Trading Commission’s Division of Enforcement today
issued an advisory to provide guidance describing its plan to address criminally liable
regulatory offenses in accordance with Executive Order 14294, Fighting
Overcriminalization in Federal Regulations.
The advisory announces the framework to be followed when DOE, as the CFTC
division responsible for making referrals to the Department of Justice, considers
whether to refer potential violations of criminal regulatory offenses to DOJ.
The advisory also includes a set of factors DOE staff should consider when
determining whether to refer alleged violations of criminal regulatory offenses to DOJ.
Those factors include:
? The harm or risk of harm, financial or otherwise, caused by the potential
offense.
? The potential gain to the alleged defendant that could result from the
offense.
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