Page 6 - 期货和衍生品行业监管动态（2022年6月）
P. 6
期货和衍生品行业监管动态
SEC Requests Information and Comment on Advisers Act Regulatory
Status of Index Providers, Model Portfolio Providers, and Pricing Services
(2022/6/15)...........................................................................................................11
7. 美国联邦法院判令加州公民为商品基金欺诈行为支付 60 余万美元
（2022 年 6 月 15 日）...................................................................................... 12
Federal Court Orders California Man to Pay Over $600,000 for
Commodity Pool Fraud (2022/6/15)................................................................. 14
8. 美国商品期货交易委员会因 Starberry Limited 未经注册成为期货佣
金商而命令其支付 137 余万美元 （2022 年 6 月 24 日）............................ 15
CFTC Orders Starberry Limited to Pay Over $1.37 Million for Failing
to Register as a Futures Commission Merchant (2022/6/24)......................... 16
境外资讯——欧盟..................................................................18
9. 欧洲监管当局发布关于因严重违反反洗钱/反恐融资规则而被撤销
许可的联合报告 （2022 年 6 月 1 日）.......................................................... 18
The ESAs Publish the Joint Report on the Withdrawal of Authorisation
for Serious Breaches of AML/CFT Rules (2022/6/1)......................................18
10. 欧洲证券与市场管理局建议将《欧盟市场基础设施监管条例》项下
商品衍生品清算门槛提高 10 亿欧元 （2022 年 6 月 3 日）........................ 20
ESMA Proposes EUR 1 Billion Increase of the Commodity Derivatives
EMIR Clearing Threshold (2022/6/3).............................................................. 20
11. 欧洲证券与市场管理局为监管者就资产管理领域的可持续性风险和披
露整合提供相关指导 （2022 年 6 月 6 日）......................................................21
ESMA Provides Supervisors with Guidance on the Integration of
Sustainability Risks and Disclosures in the Area of Asset Management
(2022/6/6).............................................................................................................22
2 / 64
