Page 37 - 期货和衍生品行业监管动态（2023年10月刊）

期货和衍生品行业监管动态

commodity pool offerings to qualified eligible persons (QEPs) and for commodity

trading advisors (CTAs) with respect to trading programs advising QEPs.

The proposed rule would amend various provisions of CFTC Regulation 4.7 that

have not been updated since the rule’s original adoption in 1992, including the

following:

(1) Increases to the ‘Portfolio Requirement’ monetary thresholds in CFTC

Regulation 4.7(a)(1)(v) to account for the effects of inflation over the last three decades;

(2) New minimum disclosure requirements for CPOs and CTAs operating pools

and trading programs under CFTC Regulation 4.7;

(3) Amendments designed to codify routinely issued exemptive letters allowing

CPOs of Funds of Funds operated under CFTC Regulation 4.7 to choose to distribute

monthly account statements within 45 days of the month-end; and

(4) Technical amendments to CFTC Regulation 4.7 designed to improve its
efficiency and usefulness for intermediaries and their prospective and actual QEP pool

participants and advisory clients, as well as the general public.

The comment period will be open for 60 days after publication in the Federal

Register.

https://www.cftc.gov/PressRoom/PressReleases/8802-23

11. 美国商品期货交易委员会就交易公司及其首席执行官、首席运营官实施的价

值 500 万美元的外汇商品基金计划提起指控（2023 年 10 月 6 日）

诉状指控被告谎称其使用基于人工智能的交易算法来挽回损失

美国商品期货交易委员会（CFTC）宣布已在纽约东区联邦地区法院提起民

事诉讼，指控 Technical Trading Team, LLC（TTT）及其首席执行官 Edwin Carrion

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