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期货和衍生品行业监管动态

提交年度业务报告的指定的若干附表（范围内的附表）来满足日本可比性行政令

的第 9 条要求，但需符合第 9 条的翻译、美元换算和截止日期要求。

此次解释是应证券业与金融市场协会代表其日本非银行互换交易商会员（这

些会员适用日本可比性行政令）提出的请求而发布的。

CFTC Staff Issues Interpretation Regarding Financial Reporting Requirements

for Japanese Nonbank Swap Dealers (2025/3/20)

The Commodity Futures Trading Commission’s Market Participants Division

today issued interpretation concerning financial reporting obligations for nonbank

swap dealers subject to regulation by the Financial Services Agency of Japan

(Japanese nonbank SDs).

On July 18, 2024, the Commission issued a comparability determination and

related comparability order granting substituted compliance in connection with the

CFTC’s capital and financial reporting requirements to Japanese nonbank SDs,

subject to certain conditions in the order (Japanese Comparability Order). One of the

conditions in the Japanese Comparability Order, condition 9, requires each Japanese

nonbank SD to file a copy of its home regulator Annual Business Report with the

CFTC and the National Futures Association (NFA).

The staff interpretation clarifies that Japanese nonbank SDs may satisfy

condition 9 of the Japanese Comparability Order by filing with the CFTC and the

NFA certain enumerated schedules of the Annual Business Report (In Scope

Schedules), subject to the translation, U.S. dollar conversion, and deadline

requirements of condition 9.

The interpretation was issued in response to a request from the Securities

Industry and Financial Markets Association on behalf of its Japanese nonbank SD

members that rely on the Japanese Comparability Order.

https://www.cftc.gov/PressRoom/PressReleases/9057-25

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