Page 20 - 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

会员资格，并对该公司的业务施加限制（如禁止该公司募集或接受任何资金）。

由于 Bit5ive Advisor 在调查期间未能与 NFA 合作，采取这一行动的目的是为了

保护客户、衍生品行业和其他 NFA 会员。

控告书和裁决全文可在 NFA 网站上查看。

NFA Permanently Bars Florida-based Commodity Pool Operator Bit5ive Mining

Fund Advisor, LLC from Membership (2024/2/8)

NFA has permanently barred Bit5ive Mining Fund Advisor, LLC (Bit5ive

Advisor), an NFA Member commodity pool operator (CPO) located in Doral, Florida,

from NFA membership and from acting or being listed as a principal of an NFA

Member.

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

based on a Complaint issued by the BCC and Bit5ive Advisor’s failure to file an

Answer. Among other findings, the BCC found that Bit5ive Advisor willfully

submitted materially false or misleading information to NFA about the operations of

the firm and its commodity pool, failed to comply with CPO reporting requirements,

and failed to cooperate promptly with NFA during an examination.

In September 2023, NFA issued an emergency enforcement action against

Bit5ive Advisor, which suspended the firm from NFA membership and imposed

restrictions on the firm’s operations (e.g., prohibited the firm from soliciting or

accepting any funds). This action was taken to protect customers, the derivatives

industry and other NFA Members due to Bit5ive Advisor’s failure to cooperate with

NFA during an examination.

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

website.

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5618

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