Page 448 - 《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

后，向 bZeroX 社区的成员吹嘘即使 Ooki DAO 违反 CEA 和 CFTC 联邦法规经营

也不会被处罚。行政令认定，DAO 作为一个非法人组织，Bean 和 Kistner 作为

其积极参与成员应对 Ooki DAO 违反 CEA 和 CFTC 联邦法规的行为承担责任。

CFTC Imposes $250,000 Penalty Against bZeroX, LLC and Its Founders and

Charges Successor Ooki DAO for Offering Illegal, Off-Exchange Digital-Asset

Trading, Registration Violations, and Failing to Comply with Bank Secrecy Act

CFTC Order Finds, and Complaint Alleges, Ooki DAO is Liable as an

Unincorporated Association (2022/9/22)

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges against respondent bZeroX, LLC (bZeroX)

and its founders Tom Bean (Bean) and Kyle Kistner (Kistner) (collectively,

respondents) for illegally offering leveraged and margined retail commodity
transactions in digital assets; engaging in activities only registered futures commission

merchants (FCM) can perform; and failing to adopt a customer identification program

as part of a Bank Secrecy Act compliance program, as required of FCMs.

The respondents engaged in these activities in connection with a decentralized

blockchain-based software protocol that functioned similarly to a trading platform.

The order requires the respondents to pay a $250,000 civil monetary penalty and to

cease and desist from further violations of the Commodity Exchange Act (CEA) and

CFTC regulations, as charged.

Simultaneously, the CFTC filed a federal civil enforcement action in the U.S.

District Court for the Northern District of California charging the Ooki DAO—a

decentralized autonomous organization and successor to bZeroX that operated the

same software protocol as bZeroX—with violating the same laws as the respondents.

The CFTC seeks restitution, disgorgement, civil monetary penalties, trading and
registration bans, and injunctions against further violations of the CEA and CFTC

regulations, as charged.

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