华盛顿2007年12月19日最新消息，美国商品期货监管委员会（CFTC）今天公布，其在2007年12月13日已经正式起诉注册地为加利福利亚州的外汇交易商美通银行（Multibank FX 或 Forex Liquidity LLC），起诉称因为该公司的资产与CFTC规定的最低资产门槛相差1160万美元以上，而且该公司未能按监管规定妥善保存相关的档案文件和记录材料。

 

在2007年12月14日，CFTC成功的冻结了美通银行的所有资产，并采取了其他的紧急监管措施，以确保CFTC能成功冻结美通银行的剩余资产并尽可能的保护其客户的利益。

 

根据CFTC的消息，在2007年11月30日，也许更早的时候，美通银行的净资产就低于CFTC规定的最低要求。美通银行作为一个NFA注册的外汇交易商，参与零售外汇交易客户头寸的结算，美通银行必须拥有最少100万美元的净资产，但是，根据CFTC的消息，截至2007年12月7日，美通银行的净资产额与要求的100万美元门槛相差大约1160万美元（就是所其资不抵债或者负债1060万美元以上）。

 

起诉书还称，美通银行不能按照政府监管要求提供相应的反映其资产和负债情况的财务报表文件。例如：根据CFTC的消息，美通银行提供给NFA的书面报告以及跟NFA相关人员面谈时均表示，其友3500万美元的ABN-AMRO债券在瑞士。CFTC的消息还说，后来美通银行向NFA报告说，该项债券资产已经应NFA的要求，划转到了美国国内的另一个交易商——Commonwealth Financial Network (CFN)。但是，后来经过查实，美通银行并没有在CFN开设有账户，美通银行提供给NFA的帐号也完全是其虚构的。

 

因此，CFTC起诉书还称，美通银行不能按照规定保存相关的文件档案材料和其商业交易过程的记录，尤其是没有保存真正反映其资产和债务的现金账户报表。

 

正在美国加利福利亚州的地区法院进行的诉讼中，CFTC要求给与美通银行（Forex Liquidity LLC）永远禁止所有业务的命令，并处罚金以及其他补助措施。深受尊敬的美国地区法院大法官Cormac J. Carney表示，该监管令可以有效冻结美通银行的现有资产，同时防止被告有意销毁相关书面证据、阻止CFTC的工作人员查询和调取相关证据。

 

CFTC感谢NFA在这次行动中给与的积极支持。

 

CFTC执行部门的下列四位官员负责处理该起事件：Peter Haas, Richard Foelber, Paul Hayeck, and Joan Manley。

 

 

 

文章链接：http://www.cftc.gov/newsroom/enforcementpressreleases/2007/pr5426-07.html

 

 

CFTC Sues Futures Commission Merchant Forex Liquidity LLC Alleging Undercapitalization in Excess of $11.6 Million

Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that on December 13, 2007, it sued Forex Liquidity LLC (Forex Liquidity), a registered Futures Commission Merchant (FCM) in Santa Ana, California, charging it with being undercapitalized in excess of $11.6 million and also with failing to maintain required books and records.

On December 14, 2007, the CFTC won an asset freeze and other emergency relief that will enable the Commission to freeze the remaining assets of Forex Liquidity and safeguard the interests of its customers.

According to the CFTC complaint, as of November 30, 2007, and perhaps earlier, Forex Liquidity’s net capitalization was below the minimum required by the Commission. As a Forex Dealer Member of the National Futures Association (NFA) offering to be the counterparty to retail customer foreign currency transactions, Forex Liquidity is required to have a minimum adjusted net capital of $1 million; instead, according to the complaint, as of December 7, 2007, it had an adjusted net capital deficit of approximately $11.6 million.

Forex Liquidity is also alleged to have been unable to produce required financial documentation regarding its assets and liabilities. For example, according to the CFTC’s complaint, Forex Liquidity represented in reports and discussions with NFA that its assets at one time included a $35 million ABN-AMRO bond located in Switzerland. The complaint further alleges that Forex Liquidity represented to the NFA that the ABN-AMRO bond (or its proceeds) were transferred to a U.S. registered broker dealer, Commonwealth Financial Network (CFN); however, CFN does not have an account for Forex Liquidity and the account number that the defendant provided to NFA was fictitious.

Accordingly, the CFTC also charged Forex Liquidity with failure to maintain books and records of its business transactions, specifically, current ledgers that accurately reflect its assets and liabilities.

In the ongoing action in the U.S. District Court for the Central District of California, the CFTC seeks an order of permanent injunction against the defendant, monetary penalties, and other relief. The Honorable Cormac J. Carney, U.S. District Judge, issued the restraining order freezing the assets of Forex Liquidity and prohibiting the defendant from destroying documents or denying CFTC staff access to books and records.

The CFTC appreciates the assistance of the National Futures Association in this action.

The following CFTC Division of Enforcement staff members are responsible for this matter: Peter Haas, Richard Foelber, Paul Hayeck, and Joan Manley.