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期货和衍生品行业监管动态

due to the lack of an equivalence decision. However, ESMA is ready to re-assess the
applications should there be new developments regarding the relevant equivalence

decisions during the processing period. Further, should the EC adopt the relevant

equivalence decision in the future, a TC-CCP, whose application was originally

refused, can re-apply for recognition to ESMA.

Until ESMA has taken a decision on granting or refusing a recognition under

EMIR, a TC-CCP, who had applied under the EMIR transition provisions, and

currently provides clearing services in a Member State under national law, may

continue to provide clearing services in that Member State.

The detailed list of recognised TC-CCPs as well as a list of TC-CCPs who have

applied for recognition are published on the ESMA website.

https://www.esma.europa.eu/press-news/esma-news/esma-updates-third-country-ccps

%E2%80%99-applications-recognition

16. 欧洲证券与市场管理局审查《欧盟金融工具市场指引 II》产品管理指南
(2022 年 7 月 8 日)

欧洲证券与市场管理局（ESMA，欧盟证券市场的监管者），正在就审查后

的 MiFID II 产品管理指南征求意见。ESMA 建议根据近期几项监管工作进展，

包括 2021 年产品管理的共同监管行动（CSA）成果，来更新 2017 年的产品治理

指南。

草案中的主要建议包括：

*产品所符合的任何可持续发展相关目标的说明；

*按每一组产品而非每一个产品确定目标市场的做法（“聚类法”）；

*当经销商认为较复杂的产品可采用非建议性销售方式时，制定一套匹配的

销售策略；

*定期审查产品，包括对比例原则的应用。

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