Page 16 - 期货和衍生品行业监管动态（2022年8月）
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期货和衍生品行业监管动态
customer sells, the dealer is the buyer. Dealers also control the information customers
see on trading platforms and apps, including prices and account balances.
https://www.cftc.gov/PressRoom/PressReleases/8566-22
4. 美国商品期货交易委员会工作人员就某事件合约非营利市场撤回对新西兰惠
灵顿维多利亚大学发布的不行动函（2022 年 8 月 4 日）
美国商品期货交易委员会（CFTC）市场监管部（DMO）宣布，将立即撤回
CFTC 第 14-130 号信函并即刻生效。DMO 于 2014 年 10 月 29 日发出该不行动
函，就新西兰惠灵顿维多利亚大学在未注册为指定合约市场、外国交易场所或互
换执行设施，其运营商也未进行注册的情况下，运营一个某事件合约非营利性市
场并向美国主体提供此类合约交易的行为，表示了不采取行动的立场。
DMO 已决定，维多利亚大学并未按照不行动函中的规定来运营其市场，因
此撤回该函。正如发出的撤回信函所要求的，直到维多利亚大学按照 CFTC 第
14-130 号信函中每项规定运营任何合约市场，该市场上所有相关和剩余的上市合
约及其头寸，包括所有相关的未平仓头寸，都应在 2023 年 2 月 15 日晚 11:59（美
国东部时间）前终止和/或平仓。
4. CFTC Staff Withdraws No-Action Letter to Victoria University of Wellington,
New Zealand Regarding a Not-for-Profit Market for Certain Event Contracts
(2022/8/4)
The Commodity Futures Trading Commission’s Division of Market Oversight
(DMO) today announced it is withdrawing CFTC Letter No. 14-130 effective
immediately. When DMO issued the letter on October 29, 2014, it took a no-action
position with respect to the operation of a not-for-profit market for certain event
contracts and the offering of such contracts to U.S. persons by Victoria University of
Wellington, New Zealand without registration as a designated contract market,
foreign board of trade, or swap execution facility, and without registration of its
operators.
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