Page 32 - 期货和衍生品行业监管动态（2025年6月）

期货和衍生品行业监管动态

境外资讯——欧盟

7. 欧盟证券与市场管理局发布第三方风险监管原则（2025 年 6 月 12 日）

欧盟证券与市场管理局（ESMA，欧盟证券市场的监管者）发布新制定的第

三方风险监管原则。该原则旨在支持欧盟范围内建立统一且有效的监管文化。

针对受监管公司在使用外包、委托或其他类型的第三方服务过程中日益增长

的风险，此次制定的 14 项原则旨在应对近年来观察到的相关风险。

这些原则为各成员国监管机构（NCAs）和 ESMA 提供了共同的监管基础，

有助于增强监管框架的稳健性，并协助受监管实体了解与管理第三方风险。

下一步

展望未来，ESMA 将通过各成员国监管机构间的监管讨论与案例分析，支持

这些原则的逐步实施。

ESMA Publishes Principles for Third-party Risk Supervision (2025/6/12)

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

markets regulator and supervisor, has today published newly developed Principles on

third-party risks supervision. These principles aim at supporting a common and
effective EU-wide supervisory culture.

The 14 principles on third-party risks were developed to address the growing

risks observed over recent years in the use of outsourcing, delegation or other types of

third-party services by supervised firms.

The principles provide a common supervisory basis to National Competent

Authorities (NCAs) and ESMA, enhancing the robustness of supervisory frameworks

and help supervised entities understand and manage third-party risks.

Next steps

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