Page 23 - 期货和衍生品行业监管动态（2025年4月）

期货和衍生品行业监管动态

 DCR will not recommend the Commission take an enforcement action

against UBS AG or certain of its counterparties for their failure to comply

with the CFTC’s swap clearing requirement for such transferred swaps.

The letter responds to a request from UBS AG.

https://www.cftc.gov/PressRoom/PressReleases/9066-25

6. 美国商品期货交易委员会工作人员发布关于向执法部转介事项的指导意见

（2025 年 4 月 17 日）

美国商品期货交易委员会（CFTC）市场参与者部、清算与风险部、市场监

管部（以上统称为运营部门）及执法部（DOE）联合发布工作人员指导意见，就

运营部门在决定是否将自行报告违规行为、监督或不合规问题转介至执法部时所
依据的重大性或其他标准提供指引。

该指导意见进一步落实了执法部于 2025 年 2 月 25 日发布的指导意见，该意

见阐述了关于自行报告、配合调查及整改的最新政策。【见 CFTC 新闻稿第

9054-25 号】

CFTC Staff Issues Advisory on Referrals to the Division of Enforcement

(2025/4/17)

The Commodity Futures Trading Commission’s Market Participants Division,

the Division of Clearing and Risk, and the Division of Market Oversight (Operating

Divisions) and the Division of Enforcement (DOE) today issued a staff advisory

providing guidance on the materiality or other criteria that the Operating Divisions

will use to determine whether to make a referral to DOE for self-reported violations,

or supervision or non-compliance issues.

This advisory furthers the implementation of DOE’s recent advisory, issued

February 25, 2025, addressing its updated policy on self-reporting, cooperation, and

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