Page 36 - 期货和衍生品行业监管动态（2023年9月刊）
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期货和衍生品行业监管动态




                        因 Bit5ive Advisor 和 Acosta 未能与 NFA 合作，故 NFA 采取行动保护 Bit5ive

                   Mining Fund LP（Bit5ive Advisor 运营的商品基金）的参与者、投资公众、衍生品

                   市场和其他 NFA 会员。由于 Bit5ive Advisor 和 Acosta 未提供所要求的的文件和

                   信息，NFA 无法认定谁投资了该基金，何时投资，或投资规模；除了向 NFA 披

                   露的投资者以外，该基金是否有其他投资者；Bit5ive Advisor 和 Acosta 如何处理

                   从该基金收到的投资资金；以及用于偿还投资者的资金来源。


                        自即日起，Bit5ive Advisor 和 Acosta 的 NFA 会员资格被暂停，且被禁止募

                   集或接受任何投资于该基金或其他 Bit5ive Advisor 和 Acosta 控制的任何其他商

                   品基金或其他投资工具的资金。此外，未经 NFA 事先批准，Bit5ive Advisor 和

                   Acosta 不得使用 Bit5ive  Advisor、Bit5ive  Fund 名下的任何账户或从 Bit5ive

                   Advisor 和 Acosta 运营的任何商品基金或其他投资工具的账户中支付或转移任何

                   资金。在 Bit5ive Advisor 和 Acosta 向 NFA 证明其完全符合 NFA 的所有要求之


                   前，该行动一直有效。


                        Bit5ive Advisor 或 Acosta 可向 NFA 听证委员会申请听证。


                   NFA Takes Emergency Enforcement Action Against Doral, Fla. Commodity Pool

                   Operator Bit5ive Mining Fund Advisor, LLC and its Principal Richard Alexander

                   Acosta (2023/9/18)


                        NFA has taken an emergency enforcement action against Bit5ive Mining Fund

                   Advisor, LLC, (Bit5ive Advisor), an NFA Member commodity pool operator located in

                   Doral, Florida, and Richard Alexander Acosta, a listed principal and the sole associated

                   person of Bit5ive Advisor.


                        NFA  took  this  action  to  protect  participants  in  Bit5ive  Mining  Fund  LP,  a

                   commodity  pool  operated  by  Bit5ive Advisor,  as  well  as  the  investing  public,  the

                   derivatives markets, and other NFA Members because of Bit5ive Advisor and Acosta's

                   failure to cooperate with NFA. Due to their failure to produce requested documents and

                   information, NFA is unable to determine, among other things, who invested in the Fund,



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