Page 28 - 《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

market operators including the suspension of trading in instruments by venues;

 Central Securities Depositories – ESMA is monitoring, in coordination with
NCAs, the impact of sanctions on CSDs’ operations and assisting with their

implementation in a consistent manner. It is also consolidating data on the levels

of settlement fails as one of the indicators to monitor market developments;

 Cyber Security – ESMA is facilitating the collection and sharing of information

and experiences among NCAs regarding cyber incidents; and

 Risk assessment – ESMA continuously monitors the risks to market participants

and financial stability and exchanges its risk assessment regularly with policy

makers and authorities at national, EU and international level.

Market Recommendations

 Sanctions Compliance – financial market participants should ensure they

comply with the relevant EU sanctions and monitor for any further restrictions.
The European Commission (EC) will provide clarity and answer queries on the

scope and implementation of these and ESMA is supporting the EC in collecting

such queries;

 Market disclosure – issuers should disclose as soon as possible any inside

information concerning the impacts of the crisis on their fundamentals, prospects,

and financial situation in line with their transparency obligations under the

Market Abuse Regulation, unless the conditions for a delayed disclosure are met;

and

 Financial Reporting – issuers should provide transparency, to the extent possible

on both a qualitative and quantitative basis, on the actual and foreseeable direct

and indirect impacts of the crisis on their business activities, exposures to the
affected markets, supply chains, financial situation and economic performance in

their 2021 year-end financial report if these have not yet been finalised and in the
annual shareholders’ meeting or otherwise in their interim financial reporting

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