Page 21 - 《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

FTX 现以全额担保方式（on a fully collateralized basis）为期货和期货期权合

约提供清算服务（非中介交易模式）。在其提交的修改注册令的申请中，FTX

提出在继续采用非中介交易模式的同时为散户参与者提供保证金交易产品清算

服务。

2022 年 3 月 10 日，CFTC 公布，就 FTX 的申请公开征求意见，包括以这种

方式使用非中介交易模式将引发的具体问题和政策问题。CFTC 将意见反馈截止

日期延长了 30 天，因此，相关意见可于 2022 年 5 月 11 日之前提交。

CFTC Extends Public Comment Period on FTX Request for Amended DCO

Registration Order（2022/3/24）

The Commodity Futures Trading Commission is extending the deadline for the

public comment period on a request from LedgerX, LLC d.b.a. FTX US Derivatives
(FTX) to amend its order of registration as a derivatives clearing organization (DCO).

FTX currently offers clearing of futures and options on futures contracts on a

fully collateralized basis directly to retail participants (non-intermediated model). In

its request for an amended order of registration, FTX proposes to clear margined

products for retail participants while continuing with a non-intermediated model.

On March 10, 2022, the CFTC announced that it is seeking public comment on

FTX’s request, on both specific questions as well as policy issues raised by use of a

non-intermediated model in this manner. The CFTC is extending the deadline by

which comments must be received by 30 days, such that comments should now be

submitted on or before May 11, 2022.

https://www.cftc.gov/PressRoom/PressReleases/8505-22

5. 美国商品期货交易委员会签发注册令允许 FEX Global Pty Ltd 向美国提供直

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