Page 42 - 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

CCP 可处置性评估指南列出了监管机构在评估何种情况下 CCP 处置能够不

依赖某些类型的外部财务支持（包括公共资金支持或中央银行支持）时所应考虑

的常见方面。

合作安排指南具体规定了有权机构或处置机构（competent or resolution

authorities）与第三国监管机构之间的合作安排应包含的主要条款。这些安排既

涉及向位于第三国的清算成员和客户提供服务的欧盟 CCP，也涉及向清算成员

及其位于欧盟的客户提供服务的第三国 CCP。

下一步

最终报告考虑了 2022 年 5 月发布的两份公开征求意见稿收到的反馈内容，

ESMA 还征求了证券和市场利益相关者集团的意见。

该指南将于 ESMA 在其网站上以欧盟官方语言发布后生效，并将根据 ESMA

条例第 16（3）条规定推进适用或解释程序。

ESMA Publishes Guidelines on Resolvability and Cooperation Arrangements for

Central Counterparties (2022/11/17)

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

markets regulator and supervisor, has today published two Final Reports including

guidelines on the central counterparties (CCPs) Resolution Regime under the CCP

Recovery and Resolution Regulation (CCPRRR).

The Guidelines on the assessment of resolvability set out common aspects to be

assessed by resolution authorities when evaluating the extent to which a CCP may be

resolved without relying on certain types of external financial support, including

public financial support or central bank assistance.

The Guidelines on the cooperation arrangements specify provisions to be
included in cooperation arrangements that shall be entered into between competent or

resolution authorities and third-country authorities. These arrangements relate to EU
CCPs that provide services to clearing members and clients located in third countries

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