Page 6 - 期货和衍生品行业监管动态（2022年10月）
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期货和衍生品行业监管动态
CFTC Orders Designated Contract Market to Pay $6.5 Million for System
Safeguard, Reporting, and False Statement Violations (2022/9/29).................................16
7. 美国商品期货交易委员会命令互换交易设施就其违反互换交易报告和核心原
则的行为支付 190 万美元罚款（2022 年 9 月 30 日）..................................................... 18
CFTC Orders Swap Execution Facility to Pay $1.9 Million for Swap Reporting
and Core Principle Violations (2022/9/30).......................................................................... 19
8. 美国商品期货交易委员会指控迈阿密公民和其经营的数字资产衍生品交易平
台为非法期货交易提供便利、未按规定注册以及意图操纵原生代币（2022 年 10 月 3
日）......................................................................................................................................... 20
CFTC Charges Digital Asset Derivatives Platform and Miami Resident with
Facilitating Unlawful Futures Transactions, Failing to Register, and Attempted
Manipulation of Native Token (2022/10/03)....................................................................... 22
9. 美国商品期货交易委员会指控特拉华州贵金属交易商、存管机构及其所有者持
续欺诈客户（2022 年 10 月 5 日）......................................................................................23
CFTC Charges Delaware Precious Metals Dealer, Depository, and Their Owner
with Ongoing Fraud (2022/10/5).......................................................................................... 24
10. 美国证券交易委员会通过法规修正案推动证券经纪商保存电子记录方式现代
化，并加强针对基于证券的互换交易实体的电子记录保存要求（2022 年 10 月 12 日）
................................................................................................................................................. 26
SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve
Electronic Records and Enhance the Electronic Recordkeeping Requirements for
Security-Based Swap Entities (2022/10/12).........................................................................27
11. 美国商品期货交易委员会工作人员向韩国证券期货交易所签发关于 KOSPI
200 和迷你 KOSPI 200 期货合约交易的不行动函（2022 年 10 月 17 日）...................29
CFTC Staff Issues No-Action Letter to Korea Exchange, Inc. Concerning the
Offer or Sale of KOSPI and Mini KOSPI 200 Futures Contracts (2022/10/17).............29
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