Page 33 - 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

应行业要求，CFTC 清算与风险部发布了一份设有期限的不行动函，即 CFTC

第 21-01 号工作人员函。CFTC 第 21-31 号工作人员函已对该不行动函延期一次，

将于 2023 年 1 月 27 日到期。此次发布的不行动函将原到期的不行动函的有效期
延长至自其发布之日起一年，或 CFTC 最终确定规则的日期，以较早者为准。

CFTC Staff Extends No-Action Letter Regarding Daily Reporting Requirements

for Derivatives Clearing Organizations (2022/12/19)

The Commodity Futures Trading Commission’s Division of Clearing and Risk

(DCR) announced today it is extending a no-action letter regarding daily reporting

requirements applicable to registered derivatives clearing organizations (DCOs) in

CFTC Regulation 39.19.

On December 15, 2022, the CFTC published a notice of proposed rulemaking on
DCO reporting that would remove from the CFTC’s DCO reporting regulations the

requirement for DCOs to report to the CFTC, on a daily basis, variation margin and
cash flow information by individual customer account. The requirement was adopted

in 2020.

In response to an industry request, DCR issued a time-limited no-action letter,

CFTC Staff Letter No. 21-01. The letter was extended once in CFTC Staff Letter

No. 21-31 and is set to expire on January 27, 2023. The no-action letter issued today

extends the expiration of the no-action letter to the earlier of one year from today, or

the date the Commission finalizes the proposed rule.

https://www.cftc.gov/PressRoom/PressReleases/8641-22

11. 美国商品期货交易委员会命令明尼苏达州期货佣金商就其违反反洗钱、风险

管理、记录保存和监督要求的行为支付 650 万美元（2022 年 12 月 20 日）

美国商品期货交易委员会（CFTC）宣布，其已签发行政令，对明尼苏达州

因弗格罗夫高地的注册期货佣金商（FCM）CHS Hedging LLC 提起诉讼并达成

和解，该公司违反了反洗钱（AML）、风险管理、记录保存和监督要求等规定。

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