Page 40 - 期货和衍生品行业监管动态（2022年10月）

期货和衍生品行业监管动态

Regulation 30.13 is pending. The letter will be effective October 24. DMO issued a
similar letter when the KOSPI 200 became a broad-based security index in 2021.

The KOSPI 200 became a narrow-based security index earlier this year. Futures

contracts based on narrow-based security indexes are subject to joint CFTC and

Securities and Exchange Commission jurisdiction. Products based on

non-narrow-based (also known as broad-based) security indexes, by contrast, are

subject to exclusive CFTC jurisdiction.

The KOSPI 200 is set to become a broad-based security index on October 22,

and October 24 is the first trading day after the index becomes broad-based. KRX has

noted that a lag may exist between when the KOSPI 200 index becomes a

broad-based security index and when KRX secures certification of the contracts under

CFTC Regulation 30.13.

https://www.cftc.gov/PressRoom/PressReleases/8610-22

12. 美国联邦法院终止美国商品期货交易委员会庞氏骗局案件中的接管程序，收
回超过 10 亿美元的资金（2022 年 10 月 17 日）

美国商品期货交易委员会（CFTC）宣布，CFTC 于 2009 年提起的涉及 13

亿美元的庞氏骗局案件（CFTC v. Walsh, et al.）中的接管工作已顺利完成。9 月

19 日，美国纽约南区地方法院批准了接管人的最终账目和报告，解除了接管人

的职务，并接受了接管人将剩余接管资金存入法院的请求。

接管期间，超过 10 亿美元被返还给由被告 Paul Greenwood 和 Stephen Walsh

经营的商品基金的投资者，占所有被批准的投资者索赔金额的 100%。法院为此

事指定的接管人是 Robb Evans & Associates LLC。

该接管命令是在 2019 年 11 月 13 日和 2019 年 11 月 19 日分别对被告 Walsh

和 Greenwood 作出最终判决后作出的。本案中清理的资产包括从完全赎回的投
资者手中追回的超过 8800 万美元的资金、位于纽约州北塞勒姆的一个价值 1400

30