Page 32 - 期货和衍生品行业监管动态（2023年9月刊）

期货和衍生品行业监管动态

regulations. Deridex operated as an unregistered SEF by operating a facility for the

trading or processing of swaps. Deridex also engaged in activities that could only

lawfully be performed by a registered FCM by deploying the Deridex Protocol and

soliciting users to deposit assets into smart contracts in connection with leveraged or

margined retail commodity transactions. Deridex also failed to adopt a customer

identification program as part of a Bank Secrecy Act compliance program, as required

of FCMs. The order finds the respondent took no steps to exclude U.S. persons from

accessing the Deridex protocol.

ZeroEx Inc. The order finds that ZeroEx developed and deployed a blockchain-

based digital asset protocol (the 0x Protocol) and a front-end application called Matcha

that offered users the ability to trade digital assets through use of various blockchains.

Among the digital assets permitted to trade on Matcha were multiple tokens, developed

and issued by a third party unaffiliated with ZeroEx, that provided traders

approximately 2:1 leveraged exposure to digital assets such as ether and bitcoin. The

order finds that these leveraged tokens are leveraged or margined retail commodity

transactions and therefore can be offered only on a registered exchange in accordance

with the CEA and CFTC regulations.

As stated in the orders, the CFTC recognizes each respondents’ substantial

cooperation with the Division of Enforcement’s investigation of this matter in the form

of a reduced civil monetary penalty.

https://www.cftc.gov/PressRoom/PressReleases/8774-23

7. 美国期货业协会要求总部位于丹佛的 Transamerica Asset Management Inc.

支付 14 万美元罚金并对 Transamerica 前员工进行处分（2023 年 9 月 12 日）

美国期货业协会（NFA）作出决定书，了结 NFA 商业行为委员会（简称“委

员会”或“BBC”）对位于科罗拉多州丹佛市的商品基金管理人 Transamerica Asset

19