Page 18 - 期货和衍生品行业监管动态（2023年2月）

期货和衍生品行业监管动态

Staff of the Commodity Futures Trading Commission Divisions of Clearing and
Risk, Market Participants, Data, and Market Oversight today released the following

statement to update the public on reporting delays due to the cyber-related incident at

ION Cleared Derivatives (a subsidiary of ION Markets), a third-party service provider

of cleared derivatives order management, order execution, trading, and trade

processing:

Although the impact of the cyber-related incident at ION has been mitigated,

firms that are responsible for reporting are continuing to experience some issues with

respect to the submission of timely and accurate data to the CFTC. As a result, the

weekly Commitments of Traders report, that is produced by CFTC staff, will continue

to be delayed until all trades can be reported. A report will be published upon receipt

and validation of data from those firms.

Further, CFTC staff recognizes there remain impacts to some reporting firms due

to the incident at ION. Each affected reporting firm should continue their best efforts

to expedite compliance obligations in preparing the daily large trader reports required

under Part 17 of the Commission’s regulations, working with CFTC staff, to ensure

timely compliance. A reporting firm should also file revised reports once the reporting

firm's systems are operational. CFTC staff will consider any necessary further action

as appropriate.

https://www.cftc.gov/PressRoom/PressReleases/8655-23

4. 美国商品期货交易委员会命令 The Options Clearing Corporation 就其违反运

营风险管理相关的核心原则与监管规定的行为支付 500 万美元

CFTC 针对核心原则违反行为的第二次执法行动（2023 年 2 月 16 日）

美国商品期货交易委员会（CFTC）发布行政令，对位于芝加哥的 CFTC 注

册衍生品清算机构（DCO）——The Options Clearing Corporation（OCC）提起指

控并达成和解。行政令查明，被告未能建立、实施、维护和执行用于管理其自动

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