Page 450 - 《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

adopt a customer identification program as part of a Bank Secrecy Act compliance
program, as required of FCMs. Bean and Kistner, who co-founded, co-owned and

controlled bZeroX, were held liable as controlling persons who knowingly induced

the underlying violations or failed to act in good faith.

As the order finds and as alleged in the complaint, on approximately August 23,

2021, bZeroX transferred control of the bZx Protocol to the bZx DAO, which

subsequently renamed itself and is currently doing business as the Ooki DAO. The

Ooki DAO operates the Ooki Protocol (formerly the bZx Protocol) in the exact same

manner as bZeroX and thus is continuing to violate the law in the same manner as

bZeroX. By transferring control to a DAO, bZeroX’s founders touted to bZeroX

community members the operations would be enforcement-proof—allowing the Ooki

DAO to violate the CEA and CFTC regulations with impunity, as alleged in the

federal court action. The order finds the DAO was an unincorporated association of
which Bean and Kistner were actively participating members and liable for the Ooki

DAO’s violations of the CEA and CFTC regulations.

https://www.cftc.gov/PressRoom/PressReleases/8590-22

8. 美国商品期货交易委员会指控五家实体未依法注册成为期货佣金商（2022 年

9 月 22 日）

CFTC 公开指控五家实体在未经注册的前提下开展期货佣金商经许可从事

的经营活动。这些实体分别为 Cryptostockoptionstrade Ltd、Global Smart Option

Broker Ltd、Hypertradingoption Ltd、Stockbrokertechniques Ltd 和 SprintTrade，他

们声称其总部设在纽约州纽约市或加利福尼亚州洛杉矶市的同一街道。上述每项

指控都要求被告停止违反《美国商品交易法》（CEA）和 CFTC 联邦法规的行为。

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