U.S. CFTC Enforcement Chief: Will Focus on Five Key Areas Including Insider Trading, Market Manipulation, Anti-Money Laundering, KYC Violations, and Other Related Key Areas

金色财经_ · 2026-04-01T21:29:05+00:00

Golden Finance reports that on April 1st, David I. Miller, Enforcement Director of the U.S. Commodity Futures Trading Commission (CFTC), stated during a speech at New York University School of Law that the agency's future enforcement efforts will focus on five key areas: insider trading, market manipulation, market abuse, retail fraud, and anti-money laundering and KYC violations. He explicitly pointed out that predictive markets are also subject to insider trading regulation, and trading based on material non-public information will be considered illegal and actively investigated and prosecuted. Additionally, in terms of regulatory approach, the CFTC will end the "enforcement as regulation" model and shift focus to core illegal activities such as fraud and manipulation. The agency also plans to introduce new cooperation policies, offering leniency or exemptions to institutions that proactively conduct self-examinations, cooperate with investigations, and complete rectifications. Furthermore, it will strengthen collaboration with exchanges and judicial authorities, with a focus on cracking down on energy market manipulation and frauds carried out using AI and other new technologies.

金色财经_

2026-04-01 21:29:05

Golden Finance reports that on April 1, David I. Miller, the enforcement chief of the U.S. Commodity Futures Trading Commission (CFTC), said in a speech at the New York University School of Law that the agency’s enforcement going forward will focus on five key areas, including: insider trading, market manipulation, market abuse, retail fraud, and violations related to anti-money laundering and KYC. He also made it clear that prediction markets are subject to insider trading regulation as well; trading using material, nonpublic information will be considered illegal and will be “actively investigated and prosecuted.” In addition, in terms of regulatory approach, the CFTC will end the model of “enforcement in place of regulation” and shift to focusing on core illegal acts such as fraud and manipulation. It also plans to roll out a new cooperation policy that offers paths to leniency and even exemption for institutions that proactively conduct self-examinations, cooperate with investigations, and complete corrective actions. At the same time, it will strengthen coordination with exchanges and judicial authorities, focusing on cracking down on energy market manipulation and fraud carried out using new technologies such as AI.

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