Page 30 - 期货和衍生品行业监管动态（2022年8月）
P. 30
期货和衍生品行业监管动态
年 10 月 6 日开始遵守 CFTC 的资本和财务报告要求。不行动立场将在 2024 年
10 月 1 日，或 CFTC 就每个司法管辖区发布最终资本可比性决定（以较早者为
准）时到期。
11. CFTC Staff Extends Temporary No-Action Letter Regarding Capital and
Financial Reporting for Certain Non-U.S. Nonbank Swap Dealers（2022/8/17）
The Commodity Futures Trading Commission’s Market Participants Division
(MPD) today announced it has issued a temporary no-action letter extending CFTC
Staff Letter No. 21-20 to nonbank swap dealers (SDs) domiciled in foreign
jurisdictions that are the subject of a pending CFTC review for comparability
determinations regarding capital and financial reporting requirements.
As part of the capital and financial reporting requirements for nonbank SDs, the
Commission adopted a substituted compliance framework that permits covered
nonbank SDs to rely on compliance with home country capital and financial reporting
requirements in lieu of meeting all or parts of the Commission’s capital adequacy and
financial reporting requirements, provided the Commission finds the home country
requirements comparable to the CFTC’s requirements.
Through CFTC Staff Letter No. 22-10, issued today, CFTC staff is extending a
no-action position to provisionally-registered nonbank SDs domiciled in Japan,
Mexico, the United Kingdom, and the European Union, conditioned upon the
nonbank SDs remaining in compliance with existing home-country capital and
financial reporting requirements and submitting certain financial reporting
information to the Commission.
The Commission recently published for public comment a proposed substituted
compliance determination for nonbank SDs domiciled in Japan and continues to
engage with foreign counterparts on the review of other comparability requests. MPD
is extending the no-action position previously issued in Staff Letter 21-20 to provide
regulatory certainty to nonbank SDs that are the subject of pending capital
comparability applications.
20 / 54
