Page 531 - 《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

KOSPI 200 指数于 10 月 22 日设计成为宽基证券指数，10 月 24 日是该指数

成为宽基指数后的首个交易日。KRX 注意到，KOSPI 200 指数成为宽基证券指

数与 KRX 根据 CFTC 联邦法规第 30.13 条取得合约认证存在时间间隔。

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)

The Commodity Futures Trading Commission’s Division of Market Oversight

(DMO) announced today that it will not recommend the Commission take

enforcement action against Korea Exchange, Inc. (KRX) for the offer or sale of Korea

Composite Stock Price Index (KOSPI) 200 Futures Contracts and Mini KOSPI 200

Futures Contracts to persons located within the U.S. while the Commission’s review

of KRX’s forthcoming request for certification of the contracts under CFTC
Regulation 30.13 is pending. The letter will be effective October 24. DMO issued a

similar letter when the KOSPI 200 became a broad-based security index in 2021.

The KOSPI 200 became a narrow-based security index earlier this year. Futures

contracts based on narrow-based security indexes are subject to joint CFTC and

Securities and Exchange Commission jurisdiction. Products based on

non-narrow-based (also known as broad-based) security indexes, by contrast, are

subject to exclusive CFTC jurisdiction.

The KOSPI 200 is set to become a broad-based security index on October 22,

and October 24 is the first trading day after the index becomes broad-based. KRX has

noted that a lag may exist between when the KOSPI 200 index becomes a

broad-based security index and when KRX secures certification of the contracts under

CFTC Regulation 30.13.

https://www.cftc.gov/PressRoom/PressReleases/8610-22

12. 美国联邦法院终止美国商品期货交易委员会庞氏骗局案件中的接管程序，收

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