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期货和衍生品行业监管动态
目，以优化我们以数据为导向的政策、监管和执法方式，此次的征求意见稿将进
一步对 CFTC 产生支持。”
该征求意见稿就人工智能的定义及其应用征求意见，包括其在交易、风险管
理、合规、网络安全、记录保存、数据处理和分析以及客户互动中的应用。该征
求意见稿还就人工智能的风险征求意见，包括与市场操纵和欺诈、治理、可解释
性、数据质量、集中度、偏见、隐私和保密性以及客户保护有关的风险。CFTC
工作人员在分析 CFTC 未来可能采取的行动时（如新的或修订的指南、解释、政
策声明或法规），将考虑对该征求意见稿的反馈意见。
对征求意见稿反馈的截止日期为 2024 年 4 月 24 日。反馈意见可通过 CFTC
在线评论程序以电子方式提交。
CFTC Staff Releases Request for Comment on the Use of Artificial Intelligence
in CFTC-Regulated Markets (2024/1/25)
The Commodity Futures Trading Commission’s Divisions of Market Oversight,
Clearing and Risk, Market Participants, and Data and the Office of Technology
Innovation today issued a request for comment (RFC) to better inform them on the
current and potential uses and risks of artificial intelligence (AI) in the derivatives
markets the CFTC regulates.
“The RFC complements the directives the Biden Administration established for
the safe, secure and trustworthy development of artificial intelligence, and embodies
good government. It prioritizes promoting responsible innovation and ensuring we
understand current and potential AI use cases and the associated potential risks to our
jurisdictional markets and the larger financial system. This allows us to better align
our supervisory oversight and evaluate the need for future regulation, guidance, or
other Commission action,” said Chairman Rostin Behnam. “This RFC will further
support the CFTC as we strategically identify the highest priorities and
return-on-investment projects with AI use cases internally to optimize our data-driven
approach to policy, surveillance, and enforcement.”
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