Page 18 - 期货和衍生品行业监管动态（2025年7月）

期货和衍生品行业监管动态

 Whether the alleged defendant held specialized knowledge, expertise, or

was licensed in an industry related to the rule or regulation at issue.

 Evidence, if any is available, of the alleged defendant’s general awareness of

the unlawfulness of his conduct as well as his knowledge or lack thereof of

the regulation at issue.

 Whether the alleged defendant is a recidivist or has otherwise engaged in a

pattern of misconduct.

 Whether DOJ’s involvement will provide additional meaningful protection

to participants in the derivatives markets.

The advisory is issued in accordance with section 7 of the Executive Order in

lieu of the requirement for publication in the Federal Register. Currently, there is no

majority vote of the Commission to authorize Federal Register publication.

https://www.cftc.gov/PressRoom/PressReleases/9094-25

5. 美国商品期货交易委员会工作人员发布关于持仓合并要求的不行动函延期

通知（2025 年 7 月 18 日）

美国商品期货交易委员会（CFTC）市场监管部发布了不行动函，延长了

CFTC 工作人员 22-09 号函中将于 8 月 12 日到期的关于某些持仓合并要求的不行

动立场。

CFTC Staff Issues No-Action Letter Extension Regarding Position Aggregation

Requirements (2025/7/18)

The Commodity Futures Trading Commission’s Division of Market Oversight

today issued a no-action letter extending the no-action positions in CFTC Staff Letter

No. 22-09 regarding certain position aggregation requirements, which expires

8