Interactive Brokers LLC Sanctioned for Failing to Supervise Its Compliance Staff CFTC Orders Online Broker to Give Up $175,000 in Commissions It Earned Handling a Customer Account Used to Defraud Commodity Pool Investors Washington, D.C. – The U.S. Commodity Futures Trading Commission (CFTC) announced today the issuance of an order filing and simultaneously settling charges against Interactive Brokers LLC (IBL), a discount direct access brokerage firm and registered futures commission merchant (FCM) headquartered in Greenwich, Connecticut. IBL offers online trading of futures, options, forex, and stock and has just concluded an initial public offering under the name Interactive Brokers Group, Inc. The CFTC order finds that IBL failed to supervise diligently its compliance employees’ handling of a commodity futures trading account maintained in the name of Kevin J. Steele, a Canadian who used the account to defraud more than 200 Canadian, German, and United States citizens of approximately $8.1 million in a commodity pool fraud that was the subject of an earlier CFTC enforcement action (see CFTC News Release 5139-05, Nov. 28, 2005.) The July 17, 2007, order requires IBL to disgorge $175,000 in commissions it earned from Steele’s account and to remit those funds to the Clerk of the Provincial Court of British Columbia, which will distribute the funds to the defrauded investors. The CFTC order finds that, from February 2003 through May 2005, IBL accepted 135 third-party deposits in the form of wire transfers and checks totaling $7.7 million into Steele’s personal account, but did not have procedures reasonably designed to detect the deposit of third-party funds in an individual trading account. The frequency and magnitude of deposits and withdrawals to Steele’s account, relative to his stated liquid net worth, and the pattern of deposits followed by withdrawals suggested that Steele might be operating as an unregistered commodity pool operator. IBL compliance staff telephoned Steele on at least three occasions to inquire about the trading activity in his account. Each time, IBL compliance staff accepted Steele’s explanations as reasonable without conducting any additional or independent inquiries. As noted in the CFTC order, an FCM’s ability to determine if funds in customer accounts are coming from someone other than the accountholder is a necessary part of an adequate supervisory system. If an FCM fails to monitor the source of funds being deposited into customer accounts at the time such funds are received, its ability to detect illegal activity such as pool fraud or money laundering is impaired. The order finds that, during the relevant time period, IBL’s procedures for determining the source of funds received through wire transfers were inadequate to meet its supervisory responsibilities. In a parallel action resulting from a settlement, on May 29, 2007, the National Futures Association (NFA), a registered futures association in which IBL is a member firm, fined IBL $125,000 for doing business with Steele and failing to maintain adequate books and records. The NFA also ordered IBL to create a restitution fund to pay up to $325,000 for the benefit of individuals who invested with Steele. The following CFTC Division of Enforcement staff were responsible for this case: Diane M. Romaniuk, Ava M. Gould, Mary E. Spear, Scott R. Williamson, Rosemary Hollinger, and Richard B. Wagner. The CFTC also appreciates the assistance it has received from the NFA, the Integrated Market Enforcement Branch of the Royal Canadian Mounted Police’s Federal and International Operations Directorate, and the British Columbia Securities Commission. Last Updated: July 20, 2007
IB is a very good Broker and they and big. You don't have to worry about it. They just have some Data problems with in China. If they can fix that too. It will be a perfect trading platform for most of us.
象这种拒绝第三方汇款的规定应该早就禁止了吧，但是IB明知道不允许还接受第三方汇款，这可以说是管理上的漏洞。以前看到的都是IB的正面宣传，其实哪个公司没有管理漏洞，兴业银行一夜间47个亿就没了，虽然有这些瑕疵，但我还是看好IB。
这确实是个问题。IB一直不允许客户出金到不同名字的银行帐户中。但是在以前，如果客户有合理解释，还是可以入金的时候以别人的名字进入账户的。有些人士钻了电子券商的这个漏洞，在IB上开展了未经注册的私募基金的交易行为。 这跟银行的操作一样，根据国际间的反洗钱等相关的法律，接受第三方存款需要有合理的解释，尤其大额汇款。如果没有，银行有权拒收该存款。 作为专业人士及从业人员，我并没有听说过0918兄所说的有关券商绝对禁止第三方存款的法律规定，资格考试中也没有提到该内容。如果有，请提供相关链接及内容。我只知道为了避免牵扯类似的麻烦，许多券商不友好地对待第三方存款。但是美国并没有法律禁令。 根据CFTC的规定，在美国管理15个账户以上的人，必须要在注册为CTA。在其他国家，需要客户本人检查相关法律细则，确定所在地的相关法律规定，并为自己的行为负责。 该客户未经注册而在加拿大等国家招徕客户，违反了该国的法律，以该客户本人的名义私募100多个客户的资金，于2002年12月到2005年5月的时间来进行期货等交易。另外的错误是该客户的结算单造假，把亏损的结算单展示给他所忽悠的客户赚钱的结算单。因而构成欺诈。IB把这个案件中的佣金收入退还给监管部门，由其发还给原始客户。 CFTC在2005年公布的原文如下：http://www.cftc.gov/opa/enf05/opa5080-05.htm Release: 5080-05 For Release: May 27, 2005 BRITISH COLUMBIA CITIZEN KEVIN STEELE CHARGED WITH DEFRAUDING OVER 200 PARTICIPANTS, INCLUDING U.S. RESIDENTS, IN $7.5 MILLION COMMODITY POOL SCHEME Scheme Touched Victims Worldwide WASHINGTON, D.C. – The U.S. Commodity Futures Trading Commission (CFTC) announced today that on May 26, 2005, the Honorable Milton I. Shadur of the United States District Court for the Northern District of Illinois, acting on a CFTC enforcement complaint filed on May 25, 2005, issued a restraining order freezing the assets of defendant Kevin J. Steele, a Canadian citizen with a Mexican national ID, and prohibiting Steele from destroying books and records. CFTC v. Kevin J. Steele, No. 05C 3130 (N.D.Ill.). The CFTC complaint charges Steele with violating the anti-fraud provisions of the Commodity Exchange Act (CEA) in his operation of a commodity pool. According to the complaint, between December 2002 and May 2005, Steele touted the success of his trading as he solicited and accepted at least $7.5 million for his commodity pool from at least 200 investors worldwide. The CFTC has learned that a large proportion of the participants reside in the Canadian Province of British Columbia, but some are U.S. residents and others reside in Germany, Italy, Japan, and Greece. The CFTC complaint alleges that Steel pooled the participants’ funds to trade such commodity futures as the E-mini S&P and e-CBOT Treasury Bond contracts. As alleged, Steele traded these futures contracts through at least two accounts at a futures broker located in Chicago, Illinois. The complaint further alleges that Steele issued false statements reflecting monthly profits from that trading, when, in reality, he lost at least $3 million trading. Steele also is charged with acting as a commodity pool operator without being registered with the CFTC. In the continuing litigation, the CFTC is seeking preliminary and permanent injunctions, orders requiring the repayment of funds to defrauded participants and the return of ill-gotten gains, and an order imposing civil penalties. The following CFTC Division of Enforcement staff members are responsible for this case: Ava M. Gould, Diane M. Romaniuk, Mary E. Spear, Donald G. Nash, Daniel A. Nathan, Grant Collins and Scott R. Williamson. The CFTC also appreciates the assistance it has received from the Integrated Market Enforcement Branch of the Royal Canadian Mounted Police’s Federal and International Operations Directorate, and the British Columbia Securities Commission.
是这样，我也不知道是否有法律绝对禁止第三方划拨资金，我只是通过其他平台的入金说明上看到不允许接收第三方存取款。既然伟建给出了法律解释，这更让我们相信这个事件只是IB的管理漏洞，无妨大碍，同时让我也学到了更多的专业知识。谢谢伟建这么认真解释，让我们更放心了。