Page 27 - 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

近期，CFTC 工作人员将在 CFTC 网站上公布对《美国联邦法规》第 17 编

第 43 部分和第 45 部分技术规范的中关于唯一产品识别码的修改。

CFTC Designates Unique Product Identifier for Swaps Recordkeeping and

Reporting (2023/2/16)

The Commodity Futures Trading Commission today issued an order to designate

a unique product identifier and product classification system to be used in swap

recordkeeping and reporting.

The Commission has determined the unique product identifiers (UPIs) the

Derivatives Service Bureau Limited (DSB) issues for swaps in the credit, equity,

foreign exchange, and interest rate asset classes comply with the Commission' s

requirements for a UPI and product classification system.

In the order, the Commission sets January 29, 2024 as the compliance date for
registered entities and swap counterparties to use the DSB UPIs for swaps in the

credit, equity, foreign exchange, and interest rate asset classes to comply with certain

Commission swap recordkeeping and reporting requirements.

As detailed in the order, the Commission expects the use of UPIs will increase

transparency in the swaps market, enabling the Commission to fulfill its regulatory

responsibilities and assist in the real-time public reporting of swap transaction and

pricing data.

“The order represents another important milestone in the Commission' s long

running efforts to harmonize and standardize the swaps data elements required to be

reported under the Commission' s regulations with those required to be reported by

authorities in other jurisdictions,” said Vince McGonagle, Director of the Division of

Market Oversight.

Commission staff will publish UPI-related modifications to Parts 43 and 45

Technical Specification in the near future on the Commission' s website here.

https://www.cftc.gov/PressRoom/PressReleases/8659-23

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