Page 15 - 期货和衍生品行业监管动态（2024年5月）

期货和衍生品行业监管动态

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. 美国商品期货交易委员会对加密货币经纪公司非法向美国客户提供数字资

产衍生品交易平台的接入服务发布行政令（2024 年 5 月 13 日）

美国商品期货交易委员会（CFTC）发布了行政令，对 Falcon Labs Ltd.（一

家根据塞舌尔法律成立的实体）未能按要求在 CFTC 注册为期货佣金商（FCM）

的行为提起指控并达成和解。这标志着 CFTC 首次对不恰当地为接入数字资产交

易所提供便利的未注册期货佣金商采取行动。

Falcon Labs 被要求停止以未注册期货佣金商的身份向美国人提供数字资产

衍生品交易平台的接入服务。Falcon Labs 还被要求没收 1,179,008 美元的非法所

得和处以 589,504 美元的民事罚款。较低的民事罚款反映了 CFTC 认可了 Falcon

Labs 与其开展的实质性合作。

5