Page 30 - 期貨和衍生品行業監管動態（2025年9月）
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期貨和衍生品行業監管動態
the proposed rulemaking for Parts 37 and 38.
As stated in the notice of withdrawal, the CFTC is withdrawing the proposal to
reconsider how the proposed rules would work given recent changes to the industry,
innovation and evolving market structures.
https://www.cftc.gov/PressRoom/PressReleases/9123-25
10. 美國商品期貨交易委員會因交易公司洗售交易行為對其處以 212,500 美元罰
款（2025 年 9 月 17 日）
美國商品期貨交易委員會發布命令，對金融服務公司 Shinhan Securities Co.
Ltd.提出指控并達成和解，因其在紐約商品交易所從事洗售交易和非競爭性交易。
根據指控內容，Shinhan 必須支付 212,500 美元的民事罰款，并停止進一步
違反《美國商品交易法》（CEA）和 CFTC 聯邦法規的行為。
交易員為具有同一實際受益人的交易賬戶，對相同數量的同一期貨合約近乎
同步作出買賣報價，以提高其買入和賣出以相同或相近價格成交的可能性，并在
執行時對沖交易。通過這種方式，Shinhan 消除了公開競爭市場附帶的風險或價
格競爭。
CFTC Sanctions Trading Firm $212,500 for Wash Sales (2025/9/17)
The Commodity Futures Trading Commission today issued an order filing and
settling charges against Shinhan Securities Co. Ltd., a financial services company,
for engaging in wash sales and non-competitive transactions on NYMEX.
Shinhan is required to pay a $212,500 civil monetary penalty and cease and
desist from further violations of the Commodity Exchange Act and CFTC regulations,
as charged.
The trader entered near-simultaneous bids and offers for the same quantities of
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