Page 40 - 期货和衍生品行业监管动态（2022年9月）

期货和衍生品行业监管动态

则草案是 《中央对手方恢复和处置条例》（CCPRRR）下 CCPs 处置机制的一

部分。

该商业重组计划的监管技术标准（RTS）草案规定了具体内容，并涵盖了

CCP 依据 CCPRRR 所享有的处置工具中所希望实施的商业重组计划所应包括的
最基础要素，以及 CCP 应满足的标准。

草案旨在确保那些破产或可能破产的 CCPs 保持其关键功能和核心业务的连

续性，并减少任何因破产对欧盟金融体系的影响。

下一步

请利益相关方，特别是 CCPs、清算会员、直接或间接客户、以及参与 CCPs

恢复和处置的主管当局，于 2022 年 12 月 1 日前提交意见。ESMA 将考虑其收到

的反馈意见，以期在 2023 年第一季度前发布最终报告。

14. ESMA Consults on CCP Business Reorganisation Plans (2022/9/22)

The European Securities and Markets Authority (ESMA), the EU’s securities

markets regulator, today published a consultation paper seeking views on proposed

rules for Central Counterparties’ (CCPs) business reorganisation plans. The proposed

rules are part of the CCPs resolution regime under the CCPRRR.

The draft Regulatory Technical Standard (RTS) provides clarifications and

covers the minimum elements to be included in the business reorganisation plans that

CCPs are expected to implement as part of their resolution tools under CCPRRR, as

well as the criteria to be fulfilled by them.

The objective of the proposed measures is to ensure that CCPs which are failing

or likely to fail, maintain continuity of their critical functions and core business lines,

as well as to reduce the impact of any failure on the EU financial system.

Next steps

Stakeholders, particularly CCPs, clearing members, direct and indirect clients, as

well as the competent authorities involved in CCP recovery and resolution are invited

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