Page 14 - 期货和衍生品行业监管动态（2022年9月）

期货和衍生品行业监管动态

will be in control of each chamber of the U.S. Congress (Congressional Control
Contracts) under CFTC Regulation 40.11(c). KalshiEX, a designated contract market,

voluntarily submitted the Congressional Control Contracts for CFTC review.

As described in the submission, the contracts are cash-settled, binary contracts

based on the question: “Will <party> be in control of the <chamber of Congress>?”

and settle based on the party affiliation of the Speaker of the U.S. House of

Representatives or the President Pro Tempore of the U.S. Senate.

The CFTC has determined the Congressional Control Contracts may involve,

relate to, or reference an activity enumerated in CFTC Regulation 40.11(a) and

section 5c(c)(5)(C) of the Commodity Exchange Act and will therefore commence a

review pursuant to CFTC Regulation 40.11(c).

The CFTC also seeks public comment on specific questions related to the

Congressional Control Contracts during a 30-day public comment period. The 30-day
public comment period ends on September 25, 2022.

The Commission will endeavor to complete its review and issue an order with

respect to this matter by October 28, 2022 or as expeditiously as is practicable while

ensuring an adequate time for public notice and comment and Commission and staff

review of the submission as well as Commission review of public comments received.

https://www.cftc.gov/PressRoom/PressReleases/8578-22

3. 美国商品期货交易委员会指控前交易员通过对美元利率衍生品错误确定盯市

价实施欺诈计划（2022 年 9 月 6 日）

CFTC 签发行政令对位于纽约州纽约市的 Blaise Brochard（一家全球性银行

的前交易员）就其对该银行美元利率衍生品交易柜台（IRD Desk）的头寸错误确

定盯市价的欺诈行为提出指控并达成和解。行政令要求 Brochard 支付 250,000 美

元罚款，停止任何违反《美国商品交易法》（CEA）和 CFTC 联邦法规现行规定

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