Page 31 - 期货和衍生品行业监管动态（2024年7月刊）

期货和衍生品行业监管动态

defendants raised funds by selling products that were purportedly backed by digital

assets related to carbon offsets. But instead of actually obtaining the promised

collateral, the defendants transferred much of the funds to earlier investors in their

other fund to allow them to avoid losses. According to the order, this resulted in a

shortfall of more than $20 million for the carbon offset program participants. The

order describes this series of events as “a classic Ponzi move.”

In addition to committing fraud, the order also finds the defendants failed to

register with the CFTC as commodity pool operators.

Additionally, the order finds not only are Bitcoin and Ethereum commodities

within the CFTC’s jurisdiction, but also “OHM and Klima, two non-Bitcoin virtual

currencies ... qualify as commodities,” noting those virtual currencies fall into the

same general class as Bitcoin, on which there is regulated futures trading.

The CFTC cautions that orders requiring repayment of funds to victims may not

always result in the recovery of lost money because the wrongdoers may not have

sufficient funds or assets

https://www.cftc.gov/PressRoom/PressReleases/8931-24

8. 美国期货业协会要求加州某公司及主要负责人退出协会及负责人职位并在

30 个月内不得重新申请（2024 年 7 月 8 日）

美国期货业协会（NFA）于 7 月 8 日向位于加州的 NFA 会员、商品交易顾

问 Rimar Capital LLC （简称 Rimar Capital）及其业务人员（AP）兼负责人 Itai Royi

Liptz（简称 Liptz）作出决定，要求其终止在 NFA 的会员资格及负责人身份，并

在未来的 30 个月内不得重新申请。若 Rimar Capital 或 Liptz 在 30 个月的期限过

后希望恢复其在 NFA 的会员资格或负责人身份，他们将需要支付 90,000 美元的

罚金。

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