Page 37 - 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

as well as when and how much; whether there are additional investors in the Fund other

than those disclosed to NFA; what Bit5ive Advisor and Acosta did with the funds

received for investment in the Fund; and the source of funds used to repay one investor.

Effective immediately, Bit5ive Advisor and Acosta are suspended from NFA

membership and prohibited from soliciting or accepting any funds for investment in the

Fund or in any other pools or other investment vehicles over which Bit5ive Advisor or

Acosta exercise control. Bit5ive Advisor and Acosta are further prohibited from

disbursing or transferring any funds from any accounts in the name of Bit5ive Advisor,

Bit5ive Fund, or from the account of any other commodity pool or other investment

vehicle operated by Bit5ive Advisor or Acosta, without NFA’s prior approval. This

action will remain in effect until Bit5ive Advisor and Acosta demonstrate to NFA's

satisfaction that they are in complete compliance with all NFA requirements.

Bit5ive Advisor or Acosta may request a hearing before NFA’s Hearing Committee.

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5577

10. 美国证监会通过修订后的《隐私法案》规则（2023 年 9 月 20 日）

美国证监会（SEC）通过了一项最终规则，该规则修订了联邦政府处理个人

信息的主要法律《隐私法案》（Privacy Act）项下的 SEC 规则。最终规则阐明、

更新并简化了 SEC 的《隐私法案》规则。此外，最终规则还修订了程序和费用

条款，删除了不必要的条款，并允许以电子方式验证个人身份和提交《隐私法案》

中的申请事项。

SEC 主席 Gary Gensler 表示：“我很高兴能推动修正案的通过，因为这将更

新SEC 有关这一重要法律的规则。这些修订将更清晰地向公众释明如何查阅 SEC

保存的记录以及对记录提出修改。”

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