Page 35 - 期货和衍生品行业监管动态（2022年7月）
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期货和衍生品行业监管动态




                        根据该注册令的条款和条件要求，除其他事项外，AEGIS SEF 必须遵守 CEA

                   的所有规定，以及 CFTC 监管规定中适用于 SEF 的内容。

                        随着 AEGIS SEF 的批准，在 CFTC 注册的 SEFs 将达到 20 家。


                   11. CFTC Grants AEGIS SEF, LLC Registration as a Swap Execution Facility

                   (2022/7/20)


                        The Commodity Futures Trading Commission today announced it has issued an

                   Order of Registration to AEGIS SEF, LLC (AEGIS SEF) granting it registration as a

                   swap execution facility (SEF). AEGIS SEF is a Delaware limited liability company

                   headquartered in The Woodlands, Texas and an affiliate of AEGIS CTA, LLC, a

                   commodity trading advisor.


                        The CFTC issued the order under Section 5h of the Commodity Exchange Act

                   (CEA) and CFTC Regulation 37.3(b). After review of AEGIS SEF’s application and
                   associated exhibits, the CFTC determined AEGIS SEF demonstrated its ability to

                   comply with the CEA provisions and CFTC regulations applicable to SEFs.


                        The terms and conditions of the order require, among other things, that AEGIS

                   SEF comply with all provisions of the CEA and the CFTC’s regulations applicable to

                   SEFs.


                        With the addition of AEGIS SEF, there will be 20 SEFs registered with the

                   CFTC.


                   https://www.cftc.gov/PressRoom/PressReleases/8560-22
























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