Page 23 - 期货和衍生品行业监管动态（2022年6月）
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期货和衍生品行业监管动态
应向市场参与者告知该错误的严重程度；提醒市场参与者其所具有的对互换数据
错误进行更正的持续性义务；并明确说明工作人员对更正此类错误的重视。
2022 年 1 月 31 日，DOD 在 CFTC 第 22-03 号信函中对某些报告要求表明了
不采取行动的立场，包括 CFTC 监管规定第 45.14(a)节和第 43.3(e)节中的错误更
正通知要求。在 2022 年 12 月 5 日该不行动立场到期后，如果一个 SEF、DCM
或报告交易对手方未能及时更正互换数据错误，将被要求通知 CFTC 工作人员，
按照咨询文件中的说明提交互换数据错误通知表。
5. CFTC Staff Issues Advisory on Swap Data Errors and Related Error
Correction Notification Form (2022/6/10)
The Commodity Futures Trading Commission’s Division of Data (DOD) today
issued an advisory that provides instructions for notifying staff when a swap
execution facility (SEF), designated contract market (DCM), or reporting
counterparty determines that it is unable to timely correct a swap data error.
CFTC Regulations 45.14(a) and 43.3(e) require SEFs, DCMs, and reporting
counterparties to correct swap data errors as soon as technologically practicable
following discovery and, in all cases, within seven business days following discovery.
A SEF, DCM, or reporting counterparty must notify staff if it determines that it will
not timely correct a swap data error. The advisory provides instructions for submitting
error correction notifications. The advisory also appends a Swap Data Error
Correction Notification Form that enumerates information sufficient to provide an
initial assessment of the scope of the error and provides a SEF, DCM, or reporting
counterparty an opportunity to present an initial remediation plan.
Additionally, through the advisory, CFTC staff aims to highlight a specific swap
data reporting error—swaps that erroneously appear in swap data repositories as open
swaps, despite having been terminated—and notify market participants of the
significant scope of this error; remind market participants of ongoing obligations to
correct swap data errors; and clearly state the importance staff places on correcting
such errors.
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