Page 22 - 期货和衍生品行业监管动态（2022年7月）

期货和衍生品行业监管动态

此外，在 2016 年至 2017 年期间，正如行政令查明的那样，BNPP 调整了 82

笔互换交易的每日盯市披露，导致约 19，000 份披露给相关互换交易对手方的每

日盯市披露被调整，这违反了《美国商品交易法》和 CFTC 监管规定的要求。

在接受 BNPP 的和解请求时，CFTC 承认，BNPP 在执法部门调查此事期间
提供了大量的合作。CFTC 以大幅降低民事罚款数额的形式，认可 BNPP 提供的

合作和采取的补救措施。

5. CFTC Orders Swap Dealer to Pay $6 Million for Swap Reporting and Daily

Mark Disclosure Violations (2022/7/5)

The Commodity Futures Trading Commission today issued an order filing and

simultaneously settling charges against BNP Paribas (BNPP), a global financial

services corporation and swap dealer, for violations of the Commodity Exchange Act
(CEA) and Commission regulations relating to swap reporting and daily mark

disclosures.

The order requires BNPP to pay a $6 million civil monetary penalty, cease and

desist from violating the applicable provisions of the CEA and CFTC regulations, and

comply with certain conditions and undertakings, including that BNPP make, within

one year, a written report to the Division of Enforcement regarding the swap dealer’s

compliance with the CEA and CFTC regulations.

Case Background

According to the order, for more than five years, from 2016 through at least 2021,

BNPP failed to correctly report numerous swap transactions to a swap data repository

(SDR) as required by the CEA and CFTC regulations. BNPP did not report more than

6,000 swap transactions with U.S. persons, because the counterparties had been

incorrectly classified as non-U.S. persons. As a result, BNPP failed to make more

than 300,000 reports relating to these transactions. These reports are required by the
CEA and CFTC regulations.

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