Page 13 - 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
associated with certain of those clearing activities. DCR expects DCOs and applicants
to actively identify new, evolving, or unique risks and implement risk mitigation
measures tailored to the risks that these products or clearing-structure changes may
present.”
Today’s staff advisory specifically notes that because of the increased cyber and
other risks that may be associated with digital assets, DCR will emphasize DCO
applicant and registrant compliance with the DCO Core principles related to system
safeguards, conflicts of interest, and physical delivery.
https://www.cftc.gov/PressRoom/PressReleases/8708-23
2. 美国商品期货交易委员会就互换交易商和期货佣金商的风险管理计划要求
公开征求意见（2023 年 6 月 1 日）
美国商品期货交易委员会（CFTC）发布一则关于拟议法规制定的预先通知
（ANPRM），就适用于互换交易商和期货佣金商的 CFTC 联邦法规 23.600 和
1.11（统称为 RMP 法规）中风险管理计划（RMP）要求的拟修订内容公开征求
意见。
ANPRM 就 RMP 法规的多个部分公开征求意见，包括治理与结构，风险管
理计划必须监测和管理的风险列举，风险管理计划必须考虑的具体风险因素。此
外，ANPRM 还就如何改进或修改 RMP 法规下的风险敞口报告要求公开征求意
见。
委员会计划利用收到的反馈信息和意见，为未来可能采取的与 RMP 法规相
关的机构工作提供参考，例如规则制定。
CFTC Seeks Public Comment on the Risk Management Program Requirements
for Swap Dealers and Futures Commission Merchants（2023/6/1）
The Commodity Futures Trading Commission today published an advanced notice
of proposed rulemaking (ANPRM) seeking public comment on potential amendments
to the Risk Management Program (RMP) requirements in CFTC Regulations 23.600
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