Page 12 - 期货和衍生品行业监管动态（2023年6月刊）
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期货和衍生品行业监管动态
境外资讯——美国
1. 美国商品期货交易委员会清算与风险部就衍生品清算机构扩大数字资产清
算相关风险发布工作人员公告（2023 年 5 月 30 日）
今日，美国商品期货交易委员会（CFTC）清算与风险部（DCR）就衍生品
清算机构（DCO）扩大数字资产清算相关风险发布了一份工作人员公告。过去几
年，清算与风险部观察到衍生品清算机构及其申请人对扩大衍生品清算机构提供
的清算产品类型和业务线、清算模式和服务的兴趣越来越大，其中包括与数字资
产相关的清算服务。
此次发布的公告“提醒注册人和申请人，在扩大业务线、改变业务模式或提
供新颖产品时，清算与风险部将继续关注与某些清算活动相关的潜在高风险。”
清算与风险部希望衍生品清算机构和申请人积极识别新的、不断发展的或独特的
风险，并针对这些产品或清算结构变化可能带来的风险实施风险缓释措施。
公告特别指出，由于可能与数字资产相关的网络和其他风险增加，清算与风
险部将强调衍生品清算机构申请人和注册人遵守与系统保障、利益冲突和实物交
割相关的衍生品清算机构核心原则。
CFTC’s Division of Clearing and Risk Issues Staff Advisory on the Risks
Associated with Expansion of Derivatives Clearing Organization Clearing of
Digital Assets（2023/5/30）
Today, the Commodity Futures Trading Commission Division of Clearing and
Risk (DCR) issued a staff advisory on the risks associated with the expansion of
Derivatives Clearing Organization (DCO) clearing of digital assets. In the past several
years, DCR has observed increased interest by DCOs and DCO applicants in expanding
the types of products cleared and business lines, clearing models, and services DCOs
offer, including related to digital assets.
The advisory issued today, “reminds registrants and applicants that when
expanding lines of business, changing business models, or offering new and novel
products, DCR will remain focused on the potentially heightened risks that may be
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