Page 50 - 期货和衍生品行业监管动态（2023年10月刊）

期货和衍生品行业监管动态

 Admissions – Achieving Accountability and Deterrence: Companies and

individuals under investigation should no longer assume no-admit, no-deny

resolutions are the default. Rather, in each case, the Division will discuss with

respondents or defendants whether admissions are appropriate. The advisory

describes various factors relevant to the determination of whether admissions

are appropriate.

The advisory supplements previous advisories and guidance the Division issued.

The advisory announced today reflects the Division’s focus on achieving accountability

and minimizing future misconduct when negotiating a proposed resolution that it may

recommend to the Commission.

https://www.cftc.gov/PressRoom/PressReleases/8808-23

15. 美国商品期货交易委员会发布关于某些大宗交易和上限修正案的不行动函

（2023 年 10 月 18 日）

美国商品期货交易委员会（CFTC）市场监管部（DMO）发布信函，延长了

CFTC 第 22-03 号函中的不行动立场，22-03 号信函对 CFTC 于 2020 年 11 月通

过的有关大宗交易和初始后上限（post-initial cap）规模的互换数据报告规则修正

案的合规日期采取了不行动立场。

信函指出，如果某个实体在 2024 年 7 月 1 日前未能遵守大宗交易和上限修

订案，只要该实体遵守了于 2021 年 1 月 1 日生效的 CFTC 大宗交易和上限规模

要求，DMO 将不会建议 CFTC 对该实体采取执法行动。

CFTC Staff Issues No-Action Letter Regarding Certain Block and Cap

Amendments (2023/10/18)

The Commodity Futures Trading Commission’s Division of Market Oversight

(DMO) today issued a letter extending the no-action position taken in CFTC Letter

37