Page 19 - 期货和衍生品行业监管动态（2024年2月）

期货和衍生品行业监管动态

The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on

a Complaint issued by the BCC and a settlement offer submitted by Lime Trading, in

which the firm neither admitted nor denied the allegations of the Complaint. The

Complaint charged Lime Trading with failing to file various required financial reports

and notifications timely with NFA, in apparent violation of NFA Financial

Requirements Sections 1(e) and 16(e). The Complaint also charged Lime Trading

with a failure to supervise, in apparent violation of NFA Compliance Rule 2-9(a).

In its Decision, the BCC found that Lime Trading violated NFA Financial

Requirements Sections 1(e) and 16(e), and NFA Compliance Rule 2-9(a). The BCC’s

Decision further ordered Lime Trading to cease and desist from violating NFA

Financial Requirements Sections 1(e) and 16(e) and NFA Compliance Rule 2-9(a).

The complete text of the Complaint and Decision can be viewed on NFA’s

website.

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5616

4. 美国期货业协会永久禁止位于佛罗里达州的商品基金管理人 Bit5ive Mining

Fund Advisor, LLC 取得会员资格（2024 年 2 月 8 日）

美国期货业协会（NFA）永久禁止位于佛罗里达州多拉尔的 NFA 会员、商

品基金管理人（CPO）Bit5ive Mining Fund Advisor, LLC（Bit5ive Advisor）申请

注册成为 NFA 会员，并禁止其作为或被列为 NFA 会员的负责人。

NFA 的商业行为委员会（BCC）根据其控告书以及 Bit5ive Advisor 未提交答

辩书的情况做出了缺席裁决。除其他调查结果外，BCC 还发现 Bit5ive Advisor

故意向 NFA 提交有关公司及其商品基金运营的重大虚假或误导性信息，未能遵

守商品基金管理人的报告要求，以及在调查期间未能及时与 NFA 合作。

2023 年 9 月， NFA 对 Bit5ive Advisor 采取紧急执法行动，暂停该公司的 NFA

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