Page 207 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

工作人员信函更新了对提交此类互换清算的实体（豁免 DCO 的交易对手方）

的豁免，包括从豁免最初“alpha”互换终止报告义务到豁免 DCO 的交易对手方与

豁免 DCO 之间任何互换的报告义务。豁免 DCOs 应按其豁免条款或不行动函规

定的条件报告该互换数据。该信函还豁免交易对手方报告计划由豁免 DCO 进行

清算的互换的某些主要经济术语数据字段。

CFTC Staff Renews Temporary No-Action Relief for Entities Submitting Swaps

for Clearing with DCOs Acting Under Exemptive Orders or No-Action Relief

(2022/5/25)

The Commodity Futures Trading Commission’s Division of Data today

announced it will renew temporary no-action relief to entities submitting swaps for

clearing by derivatives clearing organizations (DCOs) operating under CFTC
exemptive orders or CFTC staff no-action relief (Relief DCOs).

The staff letter renews relief for entities submitting such swaps for clearing

(Relief DCO Counterparties) from obligations to report the termination of the original

“alpha” swap and to report any swaps between the Relief DCO Counterparties and the

Relief DCO. Relief DCOs are required to report such resulting swap data by the terms

of their exemption or as condition to no-action relief. This staff letter also provides

relief for counterparties to report certain primary economic terms data fields for swaps

intended to be cleared by a Relief DCO as a cleared swap.

https://www.cftc.gov/PressRoom/PressReleases/8536-22

3. 美国商品期货交易委员会指控佛罗里达州公民在期货交易计划中通过欺诈招

揽客户获取 80 多万美元并私自挪用

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