Page 23 - 期货和衍生品行业监管动态（2022年11月）

期货和衍生品行业监管动态

“In order to fulfill its mission of promoting the integrity, resilience, and vibrancy
of the U.S. derivatives markets, the CFTC must be able to obtain information from

individuals and entities who are trading on U.S. markets,” said Gretchen Lowe,

Acting Director of the Division of Enforcement. “U.S. derivative markets are

available worldwide, and the Court of Appeal of England and Wales’decision shows

traders cannot hide from regulatory oversight just because they are overseas. The

CFTC is grateful for the FCA’s efforts to secure this result and its commitment to

cross-border enforcement cooperation.”

Derivatives and securities transactions are increasingly cross-border in nature. As

such, international cooperation is key to ensuring the integrity of the markets in the

U.S. and throughout the world. The CFTC relies on the cooperation of its fellow

domestic and foreign derivatives regulators to effectively investigate violations of the

Commodity Exchange Act that involve cross-border conduct or misconduct by market
participants located abroad.

The UK FCA has been assisting the CFTC Division of Enforcement to obtain

records of certain traders located in the UK who have refused to produce records

requested by the UK FCA on behalf of the CFTC. The traders have challenged the

UK FCA’s authority to obtain the records in assistance to the CFTC. This ruling ends

those traders request to proceed with a judicial review of the UK FCA’s decision to

assist the CFTC.

https://www.cftc.gov/PressRoom/PressReleases/8619-22

5. 美国商品期货交易委员会工作人员延长了针对特定类别一揽子交易中互换交

易执行要求的不行动立场（2022 年 11 月 9 日）

美国商品交易委员会（CFTC）市场监管部（DMO）宣布延长其对作为以下

类别的一揽子交易中部分互换交易成交的不行动立场。这一延长将使 DMO 能够

继续评估将交易执行要求应用于特定类别一揽子交易中互换交易的适当反馈。这

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