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期货和衍生品行业监管动态

susceptible to manipulation. As alleged in the complaint, Gemini personnel knew or
reasonably should have known that such statements were false or misleading.

In performing its market oversight responsibilities, the Commission and its staff

must be able to rely on information submitted by market participants to the

Commission and its staff. Here, as the complaint alleges, the proposed Bitcoin Futures

Contract was significant because it was to be among the first digital asset futures

contracts listed on a designated contract market, and information provided directly

and indirectly by Gemini to the CFTC was important to the CFTC’s work as it sought

to fulfill its statutory mission, including ensuring financial integrity of transactions

subject to the CEA, protecting market participants, deterring and preventing price

manipulation and any other disruptions to market integrity, and promoting responsible

innovation.

https://www.cftc.gov/PressRoom/PressReleases/8540-22

5. 美国商品期货交易委员会工作人员发布关于互换数据错误和相关错误更正通

知表的咨询文件 （2022 年 6 月 10 日）

美国商品期货交易委员会（CFTC）数据部（DOD）发布了一份咨询文件，

提出了当互换交易设施（SEF）、指定合约市场（DCM）或报告交易对手方确定

其无法及时更正互换数据错误时告知工作人员的指示。

CFTC 监管规定第 45.14(a)节和第 43.3(e)节要求 SEF、DCM 和报告交易对手

方在技术可行的情况下尽快更正互换数据错误，并在发现错误后七个工作日内进

行更正。如果 SEF、DCM 或报告交易对手方确定其不能及时更正互换数据错误，

必须告知 CFTC 工作人员。该文件提供了提交错误更正通知的说明，并附一份互

换数据错误更正通知表，列举了足以对错误严重程度进行初步评估的信息，并为

SEF、DCM 或报告交易对手方提供了提出初步更正计划的机会。

此外，通过该咨询文件，CFTC 工作人员旨在强调一项特定的互换数据报告

错误（即互换数据报告库中对已终止的互换交易错误地显示仍处于进程中），并

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