Page 23 - 期货和衍生品行业监管动态（2023年6月刊）

期货和衍生品行业监管动态

entities,” said SEC Chair Gary Gensler. “Given these markets’ size, scale, and

importance, it is critical that the Commission protect investors and market integrity

through helping prevent fraud, manipulation, and deception relating to security-based
swaps. Today’s set of rules will do just that.”

The antifraud and anti-manipulation rule adopted today is designed to prevent

misconduct in connection with effecting any transaction in, or attempting to effect any

transaction in, or purchasing or selling, or inducing or attempting to induce the purchase

or sale of, any security-based swap. The rule takes into account the features

fundamental to a security-based swap and will aid the Commission in its pursuit of

actions that directly target misconduct that reaches security-based swaps.

The Commission also adopted a rule to protect the independence and objectivity

of the CCO of a security-based swap dealer or major security-based swap participant.

https://www.sec.gov/news/press-release/2023-104

7. 美国商品期货交易委员会检举办公室发布警报寻求与碳市场不当行为有关
的线索（2023 年 6 月 20 日）

美国商品期货交易委员会（CFTC）执法部的检举办公室发布一份警报，通

知公众如何识别并报告与碳市场欺诈或操纵有关的违反《美国商品交易法》（CEA）

的潜在违规行为。除其他措施外，自愿碳市场（Voluntary carbon markets）能够

通过基于市场的方案，包括以双边或现货交易方式购买和出售高质量碳信用额

（也被称为碳抵销，carbon offsets），促进向低碳经济过渡。与任何市场一样，

这也存在欺诈和操纵市场的可能性。

CFTC 主席 Rostin Behnam 表示，“伴随着 CFTC 监管的碳抵销衍生品合约

的持续增长，机构正在筑牢其专业知识，以确保这些市场的实用性和可靠性，以

及增强识别和追究潜在的欺诈或滥用市场的能力。来自举报人的信息推进了委员

会的执法任务。反之，通过根除欺诈和操纵市场行为，也进一步筑牢碳市场的诚
信和可信度。”

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