Page 29 - 期货和衍生品行业监管动态（2025年2月刊）

期货和衍生品行业监管动态

CFTC Staff Issues No-Action Letter to Korea Exchange Concerning the Offer or
Sale of KOSPI and Mini KOSPI 200 Futures Contracts (2025/2/4)

The Commodity Futures Trading Commission’s Division of Market Oversight

today issued a no-action letter stating it will not recommend the CFTC take

enforcement action against Korea Exchange (KRX) for the offer or sale of Korea

Composite Stock Price Index (KOSPI) 200 Futures Contracts and Mini KOSPI 200

Futures Contracts to persons located within the United State while the Commission’s

review of KRX’s forthcoming request for certification of the contracts under CFTC

Regulation 30.13 is pending. DMO issued similar letters when the KOSPI 200

became a broad-based security index in 2021 and 2022. [See CFTC Press Release

Nos. 8464-21 and 8610-22]

The KOSPI 200 became a narrow-based security index in February 2024.

Futures contracts on narrow-based security indexes are subject to joint CFTC and

Securities and Exchange Commission jurisdiction. Futures contracts on

non-narrow-based (also known as broad-based) security indexes are subject to

exclusive CFTC jurisdiction.

The KOSPI 200 is set to become a broad-based security index on February 6,
2025, and the no-action position in DMO’s letter will be effective on that date.

https://www.cftc.gov/PressRoom/PressReleases/9043-25

7. 美国期货业协会要求新泽西州泽西市期货佣金商 Futu Futures Inc.支付 10

万美元罚金（2025 年 2 月 5 日）

美国期货业协会（NFA）要求 Futu Futures Inc.（Futu）支付 10 万美元罚金。

Futu 是位于新泽西州泽西市的 NFA 期货佣金商会员。

该决定由 NFA 商业行为委员会（BCC）根据其控告书及 Futu 提交的和解申

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