Page 24 - 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

此次发布的公告提醒拥有关联中介机构或交易实体的 DCO、DCM 和 SEF，

以及关联中介机构或交易实体本身，均有义务在考虑到其关联关系的基础上，确

保自身遵守现有的法定和监管要求。

公告还告知市场参与者，CFTC 工作人员在审查注册或指定的申请、进行考

核和规则审查时，以及在采用其他监管手段时，会密切审查其如何处理这类关联

关系。如果市场参与者对这类关联关系存在疑虑，请联系相关部门。

可在此处和相关链接下查阅该工作人员公告。

CFTC Divisions Issue Staff Advisory on Affiliations Among CFTC-Regulated

Entities (2023/12/18)

The Commodity Futures Trading Commission’s Divisions of Clearing and Risk,

Market Oversight, and Market Participants today issued a staff advisory on affiliations

between a designated contract market (DCM), derivatives clearing organization (DCO),

or swap execution facility (SEF) and an intermediary, such as a futures commission

merchant, or other market participant, such as a trading entity.

The advisory issued today reminds DCOs, DCMs, and SEFs that have an affiliated

intermediary or trading entity, as well as the affiliated intermediary or trading entities

themselves, of their obligations to ensure compliance with existing statutory and

regulatory requirements with this affiliate relationship in mind.

The advisory also informs market participants that CFTC staff closely scrutinizes

how these types of affiliate relationships are addressed when reviewing applications for

registration or designation; conducting examinations and rule reviews; and through

other supervisory means. Market participants are invited to contact the relevant

Division if there are concerns regarding these types of affiliate relationships.

The advisory can be found here and under Related Links.

https://www.cftc.gov/PressRoom/PressReleases/8839-23

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