Page 27 - 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

比性。CFTC 还就一项行政令草案公开征求意见，该草案规定了与该申

请相关的替代性合规满足的条件。

这两项提案的征求意见期将自《联邦公报》公布之日起 60 日。

CFTC Approves a Proposed Rule and a Proposed Order and Request for

Comment (2022/11/10)

Today, the Commodity Futures Trading Commission voted to advance two

proposals. The first is a proposed rule on reporting and information requirements for

derivatives clearing organizations (DCOs). The second is a proposed order and a

request for comment on an application for a capital comparability determination

submitted on behalf of nonbank swap dealers subject to regulation by the Mexican

Comision Nacional Bancaria y de Valores.

 Notice of Proposed Rulemaking on Reporting and Information
Requirements for Derivatives Clearing Organizations: The Commodity

Futures Trading Commission (CFTC) is proposing to amend certain

reporting and information regulations applicable to derivatives clearing

organizations (DCOs). These proposed amendments would, among other

things, update information requirements associated with commingling

customer funds and positions in futures and swaps in the same account,

address certain systemsrelated reporting obligations in§39.18(g) regarding

exceptional events, revise certain daily and event-specific reporting

requirements in§39.19(c), and include in an appendix the fields that a DCO

is required to provide on a daily basis under existing § 39.19(c)(1). In

addition, the Commission is proposing to amend certain delegation

provisions in§140.94.

 Notice of Proposed Order and Request for Comment on an

Application for a Capital Comparability Determination Submitted on behalf
of Nonbank Swap Dealers subject to Regulation by the Mexican Comision

Nacional Bancaria y de Valores: The Commodity Futures Trading

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