Page 24 - 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

正如行政令所认定以及诉状所称，大约在 2021 年 8 月 23 日，bZeroX 将 bZx
协议的控制权转让给 bZx DAO，随后 DAO 对其进行重新命名，目前以 Ooki DAO

的名义开展业务。Ooki DAO 采用与 bZeroX 完全相同的方式运作 Ooki 协议（即
以前的 bZx 协议），因此其以和 bZeroX 相同的方式继续违反法律规定。正如

CFTC 在联邦法院诉讼中所指控的那样，bZeroX 的创始人将控制权转移给 DAO

后，向 bZeroX 社区的成员吹嘘即使 Ooki DAO 违反 CEA 和 CFTC 联邦法规经营

也不会被处罚。行政令认定，DAO 作为一个非法人组织，Bean 和 Kistner 作为

其积极参与成员应对 Ooki DAO 违反 CEA 和 CFTC 联邦法规的行为承担责任。

7. CFTC Imposes $250,000 Penalty Against bZeroX, LLC and Its Founders and

Charges Successor Ooki DAO for Offering Illegal, Off-Exchange Digital-Asset

Trading, Registration Violations, and Failing to Comply with Bank Secrecy Act

CFTC Order Finds, and Complaint Alleges, Ooki DAO is Liable as an
Unincorporated Association (2022/9/22)

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges against respondent bZeroX, LLC (bZeroX)

and its founders Tom Bean (Bean) and Kyle Kistner (Kistner) (collectively,

respondents) for illegally offering leveraged and margined retail commodity

transactions in digital assets; engaging in activities only registered futures commission

merchants (FCM) can perform; and failing to adopt a customer identification program

as part of a Bank Secrecy Act compliance program, as required of FCMs.

The respondents engaged in these activities in connection with a decentralized

blockchain-based software protocol that functioned similarly to a trading platform.

The order requires the respondents to pay a $250,000 civil monetary penalty and to

cease and desist from further violations of the Commodity Exchange Act (CEA) and

CFTC regulations, as charged.

Simultaneously, the CFTC filed a federal civil enforcement action in the U.S.
District Court for the Northern District of California charging the Ooki DAO — a

decentralized autonomous organization and successor to bZeroX that operated the

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