Page 15 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2024年5月）
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期貨和衍生品行業(yè)監(jiān)管動態(tài)
CEA section 5c(c)(5)(C) and are contrary to the public interest. The proposal includes
a determination that event contracts involving each of the activities enumerated in
CEA section 5c(c)(5)(C) (gaming, war, terrorism, assassination, and activity that is
unlawful under any Federal or State law) are, as a category, contrary to the public
interest and therefore may not be listed for trading or accepted for clearing on or
through a CFTC-registered entity.
Further, the proposal defines “gaming” in detail, and the proposal lists illustrative
examples of gaming that include staking or risking something of value on the
outcome of a political contest, an awards contest, or a game in which one or more
athletes compete, or an occurrence or non-occurrence in connection with such a
contest or game. Thus, event contracts involving these illustrative examples of
gaming could not be listed for trading or accepted for clearing under the proposal.
https://www.cftc.gov/PressRoom/PressReleases/8907-24
4. 美國商品期貨交易委員會對加密貨幣經(jīng)紀(jì)公司非法向美國客戶提供數(shù)字資
產(chǎn)衍生品交易平臺的接入服務(wù)發(fā)布行政令（2024 年 5 月 13 日）
美國商品期貨交易委員會（CFTC）發(fā)布了行政令，對 Falcon Labs Ltd.（一
家根據(jù)塞舌爾法律成立的實體）未能按要求在 CFTC 注冊為期貨傭金商（FCM）
的行為提起指控并達成和解。這標(biāo)志著 CFTC 首次對不恰當(dāng)?shù)貫榻尤霐?shù)字資產(chǎn)交
易所提供便利的未注冊期貨傭金商采取行動。
Falcon Labs 被要求停止以未注冊期貨傭金商的身份向美國人提供數(shù)字資產(chǎn)
衍生品交易平臺的接入服務(wù)。Falcon Labs 還被要求沒收 1,179,008 美元的非法所
得和處以 589,504 美元的民事罰款。較低的民事罰款反映了 CFTC 認(rèn)可了 Falcon
Labs 與其開展的實質(zhì)性合作。
5
