Page 21 - 期货和衍生品行业监管动态（2022年12月）

期货和衍生品行业监管动态

Consistent with Exemptive Orders or No Action Letters (2022/12/2)

The Commodity Futures Trading Commission’s Division of Market Oversight

(DMO) today issued a no-action letter extending the no-action position in CFTC Staff

Letter No. 22-05 concerning certain swap reporting requirements of Part 45 of CFTC

regulations. The letter applies to counterparties clearing swaps through derivatives

clearing organizations (DCOs) operating consistent with a CFTC issued exemptive

order or a no-action letter issued by the CFTC’s Division of Clearing and Risk (Relief

DCOs).

The letter states that DMO will not recommend the Commission take an

enforcement action against the counterparties clearing swaps through Relief DCOs for

failure to comply with certain Part 45 reporting obligations until the earlier of: (a)

December 2, 2025; (b) the revocation or expiration of the exemptive order or
no-action letter issued to the relevant Relief DCO; or (c) Commission action that

renders the no-action position inapplicable

https://www.cftc.gov/PressRoom/PressReleases/8632-22

5. 美国商品期货交易委员会批准 SpectrAxe LLC 注册为互换执行设施（2022 年

12 月 5 日）

美国商品期货交易委员会（CFTC）宣布，已向 SpectrAxe LLC（SpectrAxe）

签发注册令，批准其注册为互换执行设施（SEF）。SpectrAxe 是一家特拉华州

的有限责任公司，总部位于纽约州纽约，是介绍经纪人 Spectra FX Solutions LLC

的附属公司。

CFTC 根据《美国商品交易法》（CEA）第 5h 条和 CFTC 联邦法规第 37.3(b)

条签发该注册令。CFTC 认定 SpectrAxe 已证明其能够遵守《美国商品交易法》

和 CFTC 联邦法规中关于互换执行设施的规定。

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