Page 13 - 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

这两项提案的征求意见期为自《联邦公报》公布之日起 60 日。

2. CFTC Approves a Proposed Rule and a Proposed Order and Request for

Comment (2022/7/27)

Today, the Commodity Futures Trading Commission voted in favor of advancing

two proposals. The first is a proposed rule on governance requirements for derivatives

clearing organizations (DCOs). The second is a proposed order and a request for

comment on an application for capital comparability determination submitted by the

Financial Services Agency of Japan.

 Notice of Proposed Rulemaking on Governance Requirements for

Derivatives Clearing Organizations: The Commission is proposing several

amendments to Regulation 39.24 that enhance the Commission ’ s DCO
governance standards and are consistent with recommendations from the Central

Counterparty Risk and Governance Subcommittee of the Market Risk Advisory
Committee. Specifically, the proposed regulations require a DCO to establish

one or more risk management committees (RMCs) and one or more risk advisory

working groups (RWGs). The proposed regulations also prescribe standards

related to the composition, activities, and policies and procedures of RMCs and

RWGs. In the notice of proposed rulemaking, the Commission invites comment

on any aspect of the proposed rules, and also poses questions related to other

topics for the Commission ’ s consideration and potential use in a future

rulemaking. These questions involve topics such as consulting market

participants prior to DCOs submitting rule changes pursuant to Part 40 of the

Commission’s rules; the ability of RMC members to share information with

others at their employer to obtain additional expert opinions; and governance

related to the introduction of new products.

 Notice of Proposed Order and Request for Comment on an Application

for a Capital Comparability Determination from the Financial Services Agency

of Japan: In response to an application submitted by the Japan Financial Services

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