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期货和衍生品行业监管动态




                   activities provided to the detriment of investors’ interests, the Board of Supervisors
                   of ESMA decided to launch in 2021 a peer review on the supervision of cross-border

                   activities of investment firms.


                        On 10 March 2022, ESMA published a peer review report on the supervision of

                   cross-border activities of investment firms. In its report, ESMA identified the need for

                   home supervisors to significantly improve their approach in the authorisation,

                   ongoing supervision and enforcement work, relating to investment firm ’ s

                   cross-border activities to retail clients. This includes calibrating their supervisory

                   work to the nature, scale and complexity of those firms’ cross-border activities and

                   the risks they pose.


                        Next steps

                        This supervisory briefing will help promote supervisory convergence across the


                   EU, in line with the recommendations made by ESMA in its peer review report.

                   https://www.esma.europa.eu/press-news/esma-news/esma-provides-guidance-supervis

                   ion-cross-border-activities-investment-firms






                   17. 欧洲证券与市场管理局向分布式账本技术试行机制申请者提供指南 (2022

                   年 12 月 15 日)


                        欧洲证券与市场管理局(ESMA,欧盟证券市场的监管者)发布了一份最终

                   报告,其中包含申请运营分布式账本技术(DLT)市场基础设施的标准模版、

                   表格和格式指南。


                        这些指南包括市场参与者依据分布式账本技术试行条例(DLTR)申请运营

                   任何类型的分布式账本技术市场基础设施(DLT MI)特别许可所使用的模版,

                   即分布式账本技术多边交易设施(DLT MTF)、分布式账本技术结算系统或分

                   布式账本技术交易和结算系统。指南还包括分布式账本技术市场基础设施申请者

                   当满足特定条件下申请部分豁免《欧盟金融工具市场条例》(MiFIR)、《欧盟

                   金融工具市场指引 II》(MiFID II)或《中央证券存管机构条例》(CSDR)的


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