Page 19 - 期货和衍生品行业监管动态（2022年12月）
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期货和衍生品行业监管动态
The Commodity Futures Trading Commission’s Division of Market Oversight
today issued a supplemental staff letter modifying the no-action position of CFTC
Staff Letters 15-29 and 16-72 concerning certain swap reporting requirements of Parts
43 and 45 of the CFTC’s regulations. The letter applies to qualifying Australian
licensed financial markets (QALMs) regulated by the Australian Securities &
Investments Commission.
The letter modifies the staff letters to remove the reporting conditions related to
Parts 43 and 45. Consistent with this removal, reporting counterparties will undertake
the applicable reporting obligations in Parts 43 and 45 of the CFTC’s regulations.
https://www.cftc.gov/PressRoom/PressReleases/8633-22
3. 美国商品期货交易委员会工作人员就非美国互换交易商首席合规官年度报告
发布建议函（2022 年 12 月 2 日）
美国商品期货交易委员会（CFTC）市场参与者部（MPD）对依据 CFTC 实
体层面可比性决定（entity-level comparability determination）以满足 CFTC 联邦
法规第 3.3 条规定的首席合规官（CCO）年度报告要求的非美国互换交易商（SDs）
发布了一份工作人员建议函。
该工作人员建议函提醒非美国互换交易商有义务遵守相关可比性决定的内
容，向 CFTC 提供符合其境外司法管辖区标准的年度合规报告。此外，还提醒非
美国互换交易商可以选择通过备制、认证并向 CFTC 提交完全符合 CFTC 联邦法
规第 3.3(e)和(f)条所规定内容和报送要求的 CCO 年度报告，而不再依赖适用的
可比性决定。
CFTC Staff Issues Advisory on Non-U.S. Swap Dealer Chief Compliance Officer
Annual Reports (2022/12/2)
The Commodity Futures Trading Commission’s Market Participants Division
today issued a staff advisory to non-U.S. swap dealers (SDs) that rely on a CFTC
entity-level comparability determination (comparability determination) for purposes
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