Page 20 - 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

并要求 OCC 建立和实施内部控制以及旨在遵守注册衍生品清算机构核心原则和

CFTC 联邦法规的政策和程序。此次行政令指出，虽然与 2019 年的行政令中所

查明的违规行为性质和范围不同，但 CFTC 注意到 OCC 未能执行与 LC 费用相
关的某些政策和程序发生于 2019 年行政令签发后。

接收被告提出的和解方案时，CFTC 认可 OCC 在执法部门本次调查中给予

的配合。CFTC 也认可了被告有关其补救措施的陈述。CFTC 以降低处罚的方式，

认可了被告的合作以及所采取的适当补救措施。

平行民事诉讼

在一项平行诉讼中，美国证券交易委员会（SEC）签发了一项行政令，以处

理 OCC 的违规行为。

CFTC Orders The Options Clearing Corporation to Pay a $5 Million Penalty for

Violations of Core Principles and Regulations Related to Operational Risk
Management

Second CFTC Action for Core Principle Violations (2023/2/16)

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges against The Options Clearing Corporation

(OCC), a Chicago-based CFTC-registered derivatives clearing organization (DCO).

The order finds the respondent failed to establish, implement, maintain and enforce

certain policies and procedures reasonably designed to manage the operational risks

related to its automated systems in violation of the Commodity Exchange Act (CEA)

and related CFTC regulations.

Without admitting or denying the CFTC’s findings, OCC agreed to pay a $5

million penalty for violations of the CEA and CFTC regulations and be subject to

undertakings relating to remediation.

“DCOs play a critical role in U.S. futures and options markets and the CFTC
requires full compliance with the DCO Core Principles,” said CFTC Acting Director

of Enforcement Gretchen Lowe. “Today’s action shows that to fully comply with the

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