Page 22 - 期货和衍生品行业监管动态（2023年7月刊）

期货和衍生品行业监管动态

LIBOR, as well as USD LIBOR ICE Swap Rates and Moscow Prime Offered Rate

(together, the Impacted Rates), to referencing risk-free rates (RFRs) following the

cessation or non-representativeness of the Impacted Rates on June 30, 2023.

The letter states DMO and DOD will not recommend the CFTC take enforcement

action against an entity for failure to timely report under Part 45 the change in a swap’s

floating rate. This letter covers those floating rate changes that are made under the ISDA

LIBOR fallback provisions from Impacted Rates to the applicable RFR, but only in the

event the entity uses its best efforts to report the change by the applicable deadline in

Part 45 and in no case reports the required information later than five business days

from, but excluding, June 30, 2023.

The letter also states DMO and DOD will not recommend the CFTC take

enforcement action against an entity for failure to report under Part 43 the change in

the floating rate for a swap modified after execution to incorporate the ISDA LIBOR

fallback provisions to transition from referencing any Impacted Rate to referencing an

RFR.

https://www.cftc.gov/PressRoom/PressReleases/8737-23

5. 美国商品期货交易委员会指控比特币卖家和前律师涉及数百万美元的比特

币欺诈行为并处以超过 500 万美元的赔偿（2023 年 7 月 6 日）

美国商品期货交易委员会（CFTC）签发两则行政令，对前佛罗里达科勒尔

盖布尔斯的 Randy Craig Levine 和佛罗里达霍姆斯泰德的 Philip Reichenthal 所犯

的数百万美元比特币欺诈行为立案并同时达成和解。

行政令指控 Levine 和 Reichenthal 从事欺诈计划，故意或鲁莽地对投资者作

出虚假陈述，诱使他们向 Reichenthal 支付超过 500 万美元的资金，以从 Levine

处购买比特币。在收到投资者资金后，Reichenthal 和 Levine 未按照承诺交付比

特币或返还投资者资金。

在行政令中，CFTC 要求 Levine 和 Reichenthal 对欺诈行为的受害者进行全

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