Page 11 - 期货和衍生品行业监管动态（2022年8月）

期货和衍生品行业监管动态

境外资讯——美国

1. 美国商品期货交易委员会清算与风险部对上海清算所发出不行动函（2022 年
7 月 26 日）

美国商品期货交易委员会（CFTC）清算与风险部（DCR）发布了一封不行

动函（No-Action Letter），载明鉴于上海清算所（SHCH）近期提交了最新的豁

免注册为衍生品清算机构（DCO）的申请，DCR 不建议 CFTC 针对 SHCH 未根

据《美国商品交易法》第 5b(a)的要求完成注册的行为采取执法行动。此次不行

动函延长了于 2022 年 7 月 31 日到期的 CFTC 第 16-56 号函。该延期将持续至 2023

年 7 月 31 日或 CFTC 豁免 SHCH 注册为 DCO 的日期（以较早者为准）。该函

指出，DCR 将不打算再次签发延期。

与 CFTC 第 16-56 号函一样，此次不行动函仅限于 SHCH 对美国的清算会员

及其关联公司的自营交易进行清算服务。

1. CFTC’s Division of Clearing and Risk Issues No-Action Letter for Shanghai

Clearing House (2022/7/26)

The Commodity Futures Trading Commission’s Division of Clearing and Risk

(DCR) today issued a no-action letter providing that DCR will not recommend the

CFTC take enforcement action against SHCH for failing to register as a derivatives

clearing organization (DCO) as required by Section 5b(a) of the Commodity

Exchange Act in light of SHCH ’ s recently submitted updated application for an

exemption from registration as a DCO. Today ’ s no-action letter extends CFTC

Letter 16-56, which expires July 31, 2022. The extension will last until the earlier of

July 31, 2023 or the date on which the CFTC exempts SHCH from registration as a

DCO. The letter states that DCR does not plan to issue further extensions.

Like CFTC Letter 16-56, today’s no-action letter is limited to SHCH’s clearing

of the proprietary trades of U.S. clearing members and their affiliates.

https://www.cftc.gov/PressRoom/PressReleases/8562-22

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