Page 23 - 期货和衍生品行业监管动态（2024年2月）

期货和衍生品行业监管动态

ICE NGX 申请修订衍生品清算机构注册令

CFTC 批准了 ICE NGX Canada, Inc.（NGX）的修订注册令，根据《美国商

品交易法》（CEA）在其有资格作为衍生品清算机构进行清算的合约范围中增加

了环境合约。根据修订令的条款和条件，NGX 获准为挂钩能源产品或环境产品

的外国期货、外国期货期权以及互换交易提供清算服务。NGX 位于加拿大阿尔

伯塔省卡尔加里市，其母公司是洲际交易所有限公司（Intercontinental Exchange,

Inc.

【见 CFTC 命令】

CFTC Approves Proposed Rules and Other Commission Business (2024/2/20)

The Commodity Futures Trading Commission announced today it approved the

following matters:

Proposed Rule: Regulations to Address Margin Adequacy and to Account

for the Treatment of Separate Accounts by Futures Commission Merchants

The Commission approved a proposed rule to implement requirements for

futures commission merchants (FCMs) related to margin adequacy and the treatment

of separate accounts of a single customer. Relatedly, the Commission withdrew its

April 14, 2023 proposal to codify the no-action position in CFTC Staff Letter

No. 19-17 regarding separate account treatment applicable to derivatives clearing

organizations (DCOs) and, through DCO rules, to clearing FCMs. The current

proposal would add new Regulation 1.44, which would apply directly to all FCMs,

with respect to their customers, a margin adequacy requirement, similar to the one

applicable to DCOs in Regulation 39.13(g)(8)(iii), which is designed to ensure that an

FCM does not permit a customer to withdraw funds from its account if the balance

after the withdrawal would be insufficient to meet the customer’s initial margin

requirements. Proposed Regulation 1.44 would also permit FCMs, whether clearing or

non-clearing, to treat the separate accounts of a single customer as accounts of

12