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期货和衍生品行业监管动态
comprehensive supervision and regulation by the appropriate governmental
authorities in the facility’s home country. The CFTC may likewise revoke exempt
status when a facility is no longer authorized and/or in good standing in its home
country.
On March 13, 2019, the CFTC issued an order determining that the Monetary
Authority of Singapore (MAS) regulatory framework for Approved Exchanges (AEs)
and RMOs satisfies the standard in CEA section 5h(g) to exempt a SEF from
registration with the CFTC. Under the order, MAS is empowered, on an ongoing basis,
to request such exemption for facilities meeting certain legal requirements within
Singapore. MAS also agreed to notify the CFTC when an AE or RMO no longer
satisfies those requirements, and to request the non-compliant facility be removed
from exempt status.
This amendment brings the total number of exempted AEs and RMOs to 16.
https://www.cftc.gov/PressRoom/PressReleases/8616-22
3. 美国商品期货交易委员会豁免新增的欧盟多边交易设施和有组织交易设施关
于互换执行设施注册的要求（2022 年 10 月 26 日）
美国商品期货交易委员会（CFTC）宣布已一致通过一项修订后的行政令，
豁免经许可在欧盟开展业务的两家多边交易设施（MTFs）和两家有组织交易设
施（OTFs）关于 CFTC 互换执行设施（SEF）注册的要求。取得豁免的 MTFs
是 Financial & Risk Transaction Services Ireland Limited（爱尔兰）和 TRAD-X MTF
（法国）；取得豁免的 OTFs 是 Market Securities OTF（法国）和 Tradition España
OTF（西班牙）。
《美国商品交易法》（CEA）第 5h(g)节规定，如果 CFTC 发现境外 SEF 受
到其所在国（母国）适当主管机构的具有可比性、全面的监督和管理，则可给予
此类豁免。当其在母国被取消许可和/或不再拥有良好声誉时，CFTC 同样可以撤
销其豁免。
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