Page 215 - 《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

following discovery and, in all cases, within seven business days following discovery.
A SEF, DCM, or reporting counterparty must notify staff if it determines that it will

not timely correct a swap data error. The advisory provides instructions for submitting

error correction notifications. The advisory also appends a Swap Data Error

Correction Notification Form that enumerates information sufficient to provide an

initial assessment of the scope of the error and provides a SEF, DCM, or reporting

counterparty an opportunity to present an initial remediation plan.

Additionally, through the advisory, CFTC staff aims to highlight a specific swap

data reporting error—swaps that erroneously appear in swap data repositories as open

swaps, despite having been terminated—and notify market participants of the

significant scope of this error; remind market participants of ongoing obligations to

correct swap data errors; and clearly state the importance staff places on correcting

such errors.

On January 31, 2022, DOD took a no-action position in CFTC Letter No. 22-03
with respect to certain reporting requirements, including the error correction

notification requirements in CFTC Regulations 45.14(a) and 43.3(e). Upon the

expiration of that no-action position on December 5, 2022, a SEF, DCM, or reporting

counterparty will be required to notify CFTC staff if it will fail to timely correct a

swap data error by submitting the Swap Data Error Correction Notification Form as

noted in the instructions in the advisory.

https://www.cftc.gov/PressRoom/PressReleases/8544-22

6. 美国证券交易委员会就《投资顾问法》向指数提供商、投资组合模型提供商

和定价服务提供商的监管状况征求意见

委员会就“信息提供商”担任“投资顾问”公开征求意见 （2022 年 6 月 15 日）

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