Page 24 - 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

CFTC 执法局代理主任 Gretchen Lowe 表示：“注册互换交易商及时准确地报

告互换交易信息对于 CFTC 履行保护市场参与者并确保市场透明度和完整性的
使命而言至关重要。”

案件背景

行政令查明，从 2015 年 9 月至 2020 年 2 月，摩根大通未准确报告约 210

万笔短期外汇（FX）互换交易。这些未报告的短期外汇互换交易约占摩根大通

同一时期执行的外汇互换总数的 51%。

短期外汇互换是指，交易双方在成交后的第二日交换两种货币，然后在下一

个营业日按预先确定的汇率进行再交换。由于短期外汇互换涉及货币交换以及在

特定日期以合约开始时确定的汇率进行交换，因此这是一种应报告的外汇互换交

易。摩根大通有义务根据相关法律法规及监管规定报告其短期外汇互换，而摩根

大通在相关期限内未进行报告。

摩根大通表示，其现在已报告了之前所有应报告而未报告的外汇互换交易。

6. CFTC Orders J.P. Morgan to Pay $850,000 for Swap Reporting Failures

(2022/7/5)

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges against JPMorgan Chase Bank, N.A., J.P.

Morgan Securities LLC, and J.P. Morgan Securities, plc (collectively, J.P. Morgan),

provisionally registered swap dealers, for failing to comply with their reporting

obligations as swap dealers. The order requires J.P. Morgan to pay an $850,000 civil

monetary penalty and to cease and desist from any further violations of the

Commodity Exchange Act (CEA) or CFTC regulations, as charged.

“Timely and accurate reporting of swaps transactions by registered swaps dealers

is critical to the CFTC’s mission to protect market participants and ensure market
transparency and integrity,” said CFTC Acting Director of Enforcement Gretchen

Lowe.

Case Background

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