華盛頓2007年12月19日最新消息，美國商品期貨監管委員會（CFTC）今天公布，其在2007年12月13日已經正式起訴注冊地為加利福利亞州的外匯交易商美通銀行（Multibank FX 或 Forex Liquidity LLC），起訴稱因為該公司的資產與CFTC規定的最低資產門檻相差1160萬美元以上，而且該公司未能按監管規定妥善保存相關的檔案文件和記錄材料。
在2007年12月14日，CFTC成功的凍結了美通銀行的所有資產，並采取了其他的緊急監管措施，以確保CFTC能成功凍結美通銀行的剩餘資產並盡可能的保護其客戶的利益。
根據CFTC的消息，在2007年11月30日，也許更早的時候，美通銀行的淨資產就低於CFTC規定的最低要求。美通銀行作為一個NFA注冊的外匯交易商，參與零售外匯交易客戶頭寸的結算，美通銀行必須擁有最少100萬美元的淨資產，但是，根據CFTC的消息，截至2007年12月7日，美通銀行的淨資產額與要求的100萬美元門檻相差大約1160萬美元（就是所其資不抵債或者負債1060萬美元以上）。
起訴書還稱，美通銀行不能按照政府監管要求提供相應的反映其資產和負債情況的財務報表文件。例如：根據CFTC的消息，美通銀行提供給NFA的書面報告以及跟NFA相關人員面談時均表示，其友3500萬美元的ABN-AMRO債券在瑞士。CFTC的消息還說，後來美通銀行向NFA報告說，該項債券資產已經應NFA的要求，劃轉到了美國國內的另一個交易商——Commonwealth Financial Network (CFN)。但是，後來經過查實，美通銀行並沒有在CFN開設有賬戶，美通銀行提供給NFA的帳號也完全是其虛構的。
正在美國加利福利亞州的地區法院進行的訴訟中，CFTC要求給與美通銀行（Forex Liquidity LLC）永遠禁止所有業務的命令，並處罰金以及其他補助措施。深受尊敬的美國地區法院大法官Cormac J. Carney表示，該監管令可以有效凍結美通銀行的現有資產，同時防止被告有意銷毀相關書面證據、阻止CFTC的工作人員查詢和調取相關證據。
CFTC執行部門的下列四位官員負責處理該起事件：Peter Haas, Richard Foelber, Paul Hayeck, and Joan Manley。
For Release: December 19, 2007
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.
Last Updated: December 19, 2007
