Page 22 - 期货和衍生品行业监管动态（2023年2月）
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期货和衍生品行业监管动态
violations of certain DCO Core Principles and related CFTC regulations. [See CFTC
Press Release No. 8000-19] This order included one Principle requiring system
safeguards to identify and minimize sources of operational risk and the related CFTC
regulation, and undertakings requiring that OCC establish and implement internal
controls, and policies and procedures reasonably designed to comply with DCO Core
Principles and the Regulations. The order states that, while the violations identified in
this order differ in nature and scope, the CFTC notes its concern that OCC’s failure to
implement certain of its policies and procedures related to the LC Charge occurred
after the 2019 order.
In accepting the respondent’s offer, the CFTC recognizes OCC’s cooperation
with the Division of Enforcement’s investigation of this matter. The CFTC also
acknowledges the respondent’s representations concerning its remediation. The
CFTC’s recognition of the respondent’s cooperation and appropriate remediation is
further reflected in the form of a reduced penalty.
Parallel Civil Enforcement Action
In a parallel action, the Securities and Exchange Commission (SEC) today issued
an order resolving OCC’s violations of their rules.
https://www.cftc.gov/PressRoom/PressReleases/8661-23
5. 美国证券交易委员会指控 Options Clearing Corporation 存在违规行为（2023
年 2 月 16 日）
美国证券交易委员会（SEC）宣布，The Options Clearing Corporation（OCC）
将采取补救措施，并支付 1700 万美元的罚款，以了结 SEC 指控其在 2019 年 10
月至 2021 年 5 月的某些时间内未符合其经 SEC 批准的压力测试和清算资金方法
（Stress Testing and Clearing Fund Methodology）规则。
根据 SEC 的行政令，位于芝加哥的 OCC 未能适当地建立、实施和执行旨在
合理管理某些运营风险的书面政策和程序，导致其未能实施并遵守自己的规则。
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