Page 23 - 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

The proposal would codify the staff interpretation in CFTC Staff Letter No. 21-

15 relating to the tangible net worth capital approach for calculating capital under

CFTC Regulation 23.101, as well as the no-action position in CFTC Staff Letter No. 21-

18, as further extended by CFTC Staff Letter No. 23-11, regarding alternate financial

reporting requirements for SDs subject to the capital requirements of a prudential

regulator.

The proposed amendments would also revise certain Part 23 regulations regarding

the financial reporting requirements of SDs, including the required timing of certain

notifications; the process for approval of subordinated debt for capital; and the

information requested on financial reporting forms to conform to the rules. The

proposed amendments are intended to make it easier for SDs and MSPs to comply with

the CFTC’s financial reporting obligations and demonstrate compliance with minimum

capital requirements.

The comment period will be open for 60 days after publication on CFTC.gov, and
close on February 13, 2024.

Comments must be in writing and may be submitted electronically through the

CFTC Comments online process. All comments received will be posted on CFTC.gov.

https://www.cftc.gov/PressRoom/PressReleases/8836-23

6. 美国商品期货交易委员会各部门就受监管实体之间的关联关系发布工作人

员公告（2023 年 12 月 18 日）

美国商品期货交易委员会清算与风险部、市场监督部和市场参与者部就指定

合约市场（DCM）、衍生品清算机构（DCO）或互换执行设施（SEF）与期货佣

金商等中介机构或交易实体等其他市场参与者之间的关联关系发布了一份工作

人员公告。

11