Page 36 - 《期货和衍生品行业监管动态》（2022年合集）
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期货和衍生品行业监管动态
previously recognised, the conclusion of revised Memoranda of Understanding
(MoUs) with relevant third country authorities, as well as the first-time recognition of
the National Securities Clearing Corporation (NSCC).
On 22 March 2022, ESMA completed the tiering and review of the recognition
decisions of 25 TC-CCPs recognised by ESMA prior to September 2020, under
Article 89(3c) of EMIR and in accordance with Article 25 of EMIR. For a number of
TC-CCPs, ESMA is still waiting for some additional clarifications, including from the
European Commission (EC) regarding relevant equivalence decisions, in order to
finalize the review of recognition process.
ESMA also recognised for the first time NSCC, which is authorised and
supervised by the US Securities and Exchange Commission (SEC), as a Tier 1 CCP
under Article 25 of EMIR following the adoption by the EC of a Commission
Implementing Decision (EU) 2021/85 on the equivalence to the requirements of
EMIR of the United States regulatory framework for central counterparties that are
authorised and supervised by the SEC in January 2021.
As pre-requisite to the recognition process, ESMA has to conclude modified or
new MoUs with the relevant third country authorities to reflect key amendments to
EMIR introduced by Regulation (EU) No 2019/2099 .
The 16 signed MoUs enhance the supervisory cooperation arrangements between
ESMA and the relevant third country authorities, whose legal and supervisory
framework for CCPs have been deemed equivalent to EMIR by the European
Commission. All MoUs between ESMA and third country authorities are published
on the ESMA website.
https://www.esma.europa.eu/press-news/esma-news/esma-updates-third-country-ccp-r
ecognition-decisions
12. 欧洲证券与市场管理局发布欧盟碳市场最终报告（2022 年 3 月 28 日）
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