Page 38 - 期货和衍生品行业监管动态（2024年5月）

期货和衍生品行业监管动态

欧盟证券与市场管理局（ESMA，欧盟证券市场的监管者）就持仓管理控制

和持仓报告制度的修改草案征求公众意见。这些修改是在审查《欧盟金融工具市

场指引 II》（MiFID II）的背景下发生的，旨在最大程度地减少报告实体的负担。

ESMA 正在就持仓管理控制的监管技术标准（RTS）、持仓报告的实施技术

标准（ITS）以及委员会授权条例（EU）中持仓报告制度的修改征求公众意见。

ESMA 欢迎公众就拟议的修改提供详细反馈意见，特别是关于将持仓管理控

制扩大到碳排放衍生品、将碳排放排除在持仓报告制度之外以及在现有的持仓报

告（包括期货和期权）基础上再引入每周持仓报告（不包括期权）。

下一步

ESMA 将考虑在 8 月 21 日之前收到的所有意见。在对反馈意见进行审查后，

ESMA 将于 2024 年底发布最终报告。

ESMA Consults on Commodity Derivatives under MiFID Review (2024/5/23)

The European Securities and Markets Authority (ESMA), the EU’s financial

markets regulator and supervisor, is launching today a public consultation on

proposed changes to the rules for position management controls and position

reporting. The changes come in the context of the review of the Market in Financial
Instruments Directive (MiFID II) and aim to minimise the burden on reporting

entities.

ESMA is consulting on changes to the technical standards (RTS) on position

management controls, the Implementing Technical Standards (ITS) on position

reporting, and on position reporting in Commission Delegated Regulation (EU).

Detailed feedback is welcomed on the proposed changes, particularly concerning

the extension of position management controls to emission allowances derivatives; the

exclusion of emission allowances from position reporting; and the introduction of one

weekly position report (excluding options) in addition to the existing one (combining

futures and options).

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