Page 7 - 期货和衍生品行业监管动态（2022年12月）
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期货和衍生品行业监管动态
控 Alameda 首席执行官和 Alameda 及 FTX 的联合创始人从事欺诈行为（2022 年 12
月 21 日）............................................................................................................................... 20
CFTC Charges Alameda CEO and Alameda and FTX Co-Founder with Fraud in
Action Against Sam Bankman-Fried and his Companies (2022/12/21)...........................23
13. 联邦法院命令加利福尼亚州贵重金属公司及其所有者就商品欺诈和违反注册
规定行为支付 3800 万美元（2022 年 12 月 21 日）......................................................... 26
Federal Court Orders California Precious Metals Firm and Its Owners to Pay
$38 Million for Commodity Fraud and Registration Violations (2022/12/21)................27
14. 美国商品期货交易委员会工作人员发布关于将客户资金投资于以有担保隔夜
融资利率为基准的证券的不行动函（2022 年 12 月 23 日）........................................... 30
CFTC Staff Issues No-Action Letter Regarding Investments of Customer Funds
in Securities Benchmarked to SOFR (2022/12/23).............................................................31
境外资讯——欧盟.................................................................................................32
15. 欧洲证券与市场管理局修订基准管理人申请标准并征求意见（2022 年 11 月
28 日）.................................................................................................................................... 32
ESMA Amends and Consults on Standards for Benchmark Administrator
Applications (2022/11/28)......................................................................................................33
16. 欧洲证券与市场管理局对投资公司跨境活动监管提供指引（2022 年 12 月 14
日）......................................................................................................................................... 34
ESMA Provides Guidance for Supervision of Cross-border Activities of
Investment Firms (2022/12/14).............................................................................................35
17. 欧洲证券与市场管理局向分布式账本技术试行机制申请者提供指南 （2022
年 12 月 15 日）.....................................................................................................................36
ESMA Provides Guidance to Applicants under the DLT Pilot Regime (2022/12/15)
................................................................................................................................................. 37
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