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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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