Page 26 - 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

欠付客户和清算会员的资金数额以及为客户和清算会员实际持有的资金数额。

【见概况介绍】

该规则草案在 CFTC 官网上公布后有为期 60 日的征求意见期，截止日期为

2024 年 2 月 16 日。

Bitnomial Clearinghouse, LLC 申请注册为衍生品清算机构

CFTC 作出了一项行政令，批准 Bitnomial Clearinghouse, LLC（后称 Bitnomial）

根据《美国商品交易法》（CEA）第 5b 条注册为衍生品清算机构。根据该行政

令的条款和条件，Bitnomial 获准为在指定合约市场（DCM）上交易的期货和期

货期权（options on futures）提供清算服务。Bitnomial 的母公司 Bitnomial Exchange,

LLC 已在 CFTC 注册为指定合约市场。有关衍生品清算机构（DCO）的信息，请

参阅清算机构（Clearing Organizations）。

所有针对规则草案的意见必须以书面形式提交，并可通过 CFTC 在线程序以
电子方式提交。所有收到的意见都将在 CFTC 官网上公布。

CFTC Approves Two Proposals and a DCO Application (2023/12/18)

The Commodity Futures Trading Commission at its open meeting on December

13 approved the following proposed rules and a DCO application. Additional

information on these rulemakings, including statements of the Chairman and the

Commissioners, is available here.

Notice of Proposed Rulemaking: Operational Resilience Framework for Futures

Commission Merchants, Swap Dealers, and Major Swap Participants

The Commission unanimously approved a rule proposal requiring that futures

commission merchants, swap dealers, and major swap participants establish, document,

implement, and maintain an Operational Resilience Framework reasonably designed to

identify, monitor, manage, and assess risks relating to information and technology

security, third-party relationships, and emergencies or other significant disruptions to

normal business operations. The framework would include three components – an

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