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      Page 31 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)(2024年7月刊)
      P. 31

      期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
      
      
      
      
                         defendants raised funds by selling products that were purportedly backed by digital
      
                         assets related to carbon offsets. But instead of actually obtaining the promised
      
                         collateral, the defendants transferred much of the funds to earlier investors in their
      
                         other fund to allow them to avoid losses. According to the order, this resulted in a
      
                         shortfall of more than $20 million for the carbon offset program participants. The
      
                         order describes this series of events as “a classic Ponzi move.”
      
      
                              In addition to committing fraud, the order also finds the defendants failed to
      
                         register with the CFTC as commodity pool operators.
      
      
                              Additionally, the order finds not only are Bitcoin and Ethereum commodities
      
                         within the CFTC’s jurisdiction, but also “OHM and Klima, two non-Bitcoin virtual
      
                         currencies ... qualify as commodities,” noting those virtual currencies fall into the
      
                         same general class as Bitcoin, on which there is regulated futures trading.
      
      
                              The CFTC cautions that orders requiring repayment of funds to victims may not
      
                         always result in the recovery of lost money because the wrongdoers may not have
      
                         sufficient funds or assets
      
      
      
                         https://www.cftc.gov/PressRoom/PressReleases/8931-24
      
      
      
      
      
      
                         8.  美國(guó)期貨業(yè)協(xié)會(huì)要求加州某公司及主要負(fù)責(zé)人退出協(xié)會(huì)及負(fù)責(zé)人職位并在
      
      
                         30 個(gè)月內(nèi)不得重新申請(qǐng)(2024 年 7 月 8 日)
      
      
      
                              美國(guó)期貨業(yè)協(xié)會(huì)(NFA)于 7 月 8 日向位于加州的 NFA 會(huì)員、商品交易顧
      
                         問 Rimar Capital LLC (簡(jiǎn)稱 Rimar Capital)及其業(yè)務(wù)人員(AP)兼負(fù)責(zé)人 Itai Royi
      
                         Liptz(簡(jiǎn)稱 Liptz)作出決定,要求其終止在 NFA 的會(huì)員資格及負(fù)責(zé)人身份,并
      
                         在未來的 30 個(gè)月內(nèi)不得重新申請(qǐng)。若 Rimar Capital 或 Liptz 在 30 個(gè)月的期限過
      
                         后希望恢復(fù)其在 NFA 的會(huì)員資格或負(fù)責(zé)人身份,他們將需要支付 90,000 美元的
      
                         罰金。
      
      
      
      
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