Page 26 - 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

These transactions were unlawful because they were required to take place on a
designated contract market, but did not. Additionally, by soliciting and accepting

orders for and entering into retail commodity transactions with customers, and

accepting money or property (or extending credit in lieu thereof) to margin these

transactions, bZeroX illegally operated as an unregistered FCM. bZeroX also failed to

adopt a customer identification program as part of a Bank Secrecy Act compliance

program, as required of FCMs. Bean and Kistner, who co-founded, co-owned and

controlled bZeroX, were held liable as controlling persons who knowingly induced

the underlying violations or failed to act in good faith.

As the order finds and as alleged in the complaint, on approximately August 23,

2021, bZeroX transferred control of the bZx Protocol to the bZx DAO, which

subsequently renamed itself and is currently doing business as the Ooki DAO. The

Ooki DAO operates the Ooki Protocol (formerly the bZx Protocol) in the exact same
manner as bZeroX and thus is continuing to violate the law in the same manner as

bZeroX. By transferring control to a DAO, bZeroX’s founders touted to bZeroX

community members the operations would be enforcement-proof—allowing the Ooki

DAO to violate the CEA and CFTC regulations with impunity, as alleged in the

federal court action. The order finds the DAO was an unincorporated association of

which Bean and Kistner were actively participating members and liable for the Ooki

DAO’s violations of the CEA and CFTC regulations.

https://www.cftc.gov/PressRoom/PressReleases/8590-22

8. 美国商品期货交易委员会指控五家实体未依法注册成为期货佣金商（2022 年

9 月 22 日）

CFTC 公开指控五家实体在未经注册的前提下开展期货佣金商经许可从事
的经营活动。这些实体分别为 Cryptostockoptionstrade Ltd、Global Smart Option

Broker Ltd、Hypertradingoption Ltd、Stockbrokertechniques Ltd 和 SprintTrade，他

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