Page 24 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2025年9月）
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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
? 對(duì)于每一項(xiàng)刑事違法行為，其可能面臨的刑事處罰范圍及適用的犯罪故
意（主觀意圖）標(biāo)準(zhǔn)
該政策聲明確立了當(dāng) CFTC（包括執(zhí)法部）考慮是否將潛在的刑事違法行為
轉(zhuǎn)介至司法部時(shí)應(yīng)遵循的框架。
本政策聲明根據(jù)行政令發(fā)布，并將刊載于《聯(lián)邦公報(bào)》。此前因 CFTC 未就
授權(quán)在《聯(lián)邦公報(bào)》發(fā)布形成多數(shù)票決議，執(zhí)法部發(fā)布了一份包含委員會(huì)采納的
框架的指導(dǎo)意見（advisory）。在 CFTC 采取這一行動(dòng)后，該指導(dǎo)意見現(xiàn)已撤銷。
CFTC Issues Policy Statement on Referrals for Potential Criminal Enforcement
(2025/9/5)
The Commodity Futures Trading Commission approved a policy
statement describing its plan to address criminally liable regulatory offenses in
accordance with Executive Order 14294, Fighting Overcriminalization in Federal
Regulations.
The policy statement advises the public that the Commission, in consultation
with the Attorney General, will provide the Director of the Office of Management and
Budget a report containing:
? A list of all criminal regulatory offenses enforceable by the Commission or
the Department of Justice.
? For each such criminal regulatory offense, the range of potential criminal
penalties for a violation and the applicable mens rea (state of mind)
standard for the criminal regulatory offense.
The policy statement sets the framework to be followed when CFTC, including
the Division of Enforcement, considers whether to refer potential violations of
criminal regulatory offenses to DOJ.
The policy statement is issued in accordance with the Executive Order and will
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