Page 14 - 期货和衍生品行业监管动态（2023年12月刊）

期货和衍生品行业监管动态

虽然该报告重点关注于股票上市交易场所，但其得出的结论也与其他类型交

易场所相关，包括非上市交易场所和衍生品交易场所。

IOSCO 二级市场监管委员会（IOSCO Committee on Regulation of Secondary

Markets，简称 Committee 2）主席 Isadora Tarola 表示：

“市场中断——尤其是在上市交易场所发生的市场中断——会造成极大的

破坏。这套最佳实践的报告是市场中断发生时提升市场韧性的重要一步，我们强

烈鼓励市场参与者积极参与征求意见过程。”

对征求意见稿的意见应在 2024 年 3 月 1 日 前 发 送 至 marketoutages-

consultation@iosco.org。

IOSCO Seeks Feedback on Proposed Good Practices to Improve Trading Venues’

Resilience in Case of Market Outages (2023/12/14)

The International Organisation for Securities Commissions (IOSCO), the global

standard setter for securities market regulators, today published its Consultation Report
on Market Outages. Operational resilience remains a key global priority for securities

regulators, as the resilience of trading venues is vital for the smooth operation of global

capital markets.

Recent market outages have shown that trading venues can take different

approaches regarding the coordination and communication of recovery pathways for

the impacted market participants and the general public.

Building from previous IOSCO reports and new information gathered through a

members’ survey, this Consultation Report identifies key findings from recent market

outages and puts forward five good practices for trading venues to consider improving

market-wide resilience during an outage:

 Establish and publish an outage plan with clearly defined roles and

responsibilities;

2