Page 26 - 期货和衍生品行业监管动态（2026年1月）

期货和衍生品行业监管动态

They are designed to support a supervisory framework that is consistent,

proportionate, and effective across the Union.

A risk-based approach is the cornerstone of EU securities markets supervision,

allowing regulators to focus on and address risks that pose the greatest threats to

investor protection, financial stability, and orderly markets. Risk-based supervision is

also one of ESMA’s flagship projects supporting the simplification and burden

reduction agenda, through its contribution to boosting supervisory efficiency and

value.

Next steps

ESMA and NCAs will work together to advance the implementation of effective

risk-based supervision and foster high quality supervisory outcomes for market

participants.

https://www.esma.europa.eu/press-news/esma-news/principles-risk-based-supervision

-critical-pillar-esmas-simplification-and

5. 欧盟证券与市场管理局出台数字与数据战略支持欧盟金融市场监管（2026

年 1 月 13 日）

欧盟证券与市场管理局（ESMA，欧盟金融市场的监管机构）通过了一项新

的数字战略（Digital Strategy）并更新了其数据战略（Data Strategy）。这两份战

略文件反映了 ESMA 致力于实现更智能的监管报告和技术驱动型监管，在促进

协同效应与创新的同时，减少不必要的复杂性。

数字战略旨在持续推进 ESMA 数字化转型，而数据战略更新则着眼于抓住

机遇，简化、优化整合并精简数据管理与技术。

ESMA 主席 Verena Ross 表示：

10