Page 217 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

Advisers Act of 1940 (“Advisers Act”). The Request specifically focuses on index
providers, model portfolio providers, and pricing services.

“In recent decades, the use of information providers has grown, changing the

asset management industry,” said SEC Chair Gary Gensler. “The role of these

information providers today raises important questions under the securities laws as to

when they are providing investment advice rather than merely information. In order to

help the Commission determine when—and under what facts and

circumstances—these providers are giving investment advice, the Commission seeks

information and public comment to help guide our approach.”

Investment adviser status has regulatory implications, including questions related

to registration under the Advisers Act and questions under the Investment Company

Act of 1940. The Request will facilitate consideration of whether regulatory action is
necessary and appropriate to further the Commission’s mission.

The Request will be published on SEC.gov and in the Federal Register. The

public comment period will remain open for 60 days following publication of the

Request on the SEC’s website or 30 days following publication of the Request in the

Federal Register, whichever period is longer.

https://www.sec.gov/news/press-release/2022-109

7. 美国联邦法院判令加州公民为商品基金欺诈行为支付 60 余万美元

被告是商品基金管理人的业务代表 （2022 年 6 月 15 日）

美国商品期货交易委员会（CFTC）公布，美国加州中部地方法院于 6 月 7

日对加州布拉格堡公民 Daniel Hewko 作出同意和解令，处以永久禁令、罚款和

其他衡平法上的救济。

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