Page 22 - 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

7. CFTC Approves a Joint Rule Proposal to Amend Form PF (2022/8/10)

The Commodity Futures Trading Commission today voted to jointly propose

amendments to Form PF with the Securities and Exchange Commission (SEC), as

required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of

2010. Form PF is the confidential reporting form for certain investment advisers to

private funds that are registered with the SEC, including those also registered with the

CFTC. The SEC also approved the proposed amendments at a public meeting today.

The proposed amendments to Form PF reflect the lessons learned over the past decade

of private funds filing with the SEC.

The proposed amendments are designed to improve the utility of Form PF data to

enhance the Financial Stability Oversight Council’s ability to assess systemic risk as

well as to bolster the oversight of private fund advisers in light of the growth of the
private fund industry. Specifically, the joint proposal would amend Form PF’s general

instructions as well as Sections 1 and 2.

The proposal will be published at www.cftc.gov, and in the Federal Register. The

public comment period will remain open for 60 days after the date of issuance and

publication on www.cftc.gov or 30 days after publication in the Federal Register,

whichever is later.

https://www.cftc.gov/PressRoom/PressReleases/8571-22

8. 美国商品期货交易委员会工作人员延长关于某些持仓合并计算要求的临时不

行动函（2022 年 8 月 10 日）

美国商品期货交易委员会（CFTC）市场监管部（DMO）宣布其已发布一封

不行动函，暂时延长 8 月 12 日到期的关于某些持仓合并计算要求的 CFTC 工作

人员第 19-19 号函。此次发布的 CFTC 工作人员第 22-09 号函规定，DMO 将不

会根据 CFTC 监管规定第 150.4 节的要求向 CFTC 提出执法建议，但需满足特定

条件，包括遵守：

12 / 54