Page 367 - 《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

成员与他们雇主的其他人员共享信息以获得更多专家意见的能力；以及与推

出新产品相关的管理方法。

 关于对日本金融厅申请资本可比性认定的拟议行政令和公开征求意

见的通知：作为对日本金融厅（JFSA）提交的申请的回应，CFTC 正在就可

比性认定的行政令征求意见，该认定将准许满足日本非银行互换交易商的资

本和财务报告要求构成 CFTC 所采用的《多德-弗兰克华尔街改革和消费者保

护法》（the Dodd-Frank Wall Street Reform and Consumer Protection Act）第

七章项下资本和财务报告要求的替代性合规。CFTC 正在邀请公众就其论证

分析和可比性认定的拟议行政令，包括拟定的条件，以及对 JFSA 的申请和

相关日本法律发表意见。

这两项提案的征求意见期为自《联邦公报》公布之日起 60 日。

CFTC Approves a Proposed Rule and a Proposed Order and Request for

Comment (2022/7/27)

Today, the Commodity Futures Trading Commission voted in favor of advancing

two proposals. The first is a proposed rule on governance requirements for derivatives

clearing organizations (DCOs). The second is a proposed order and a request for

comment on an application for capital comparability determination submitted by the

Financial Services Agency of Japan.

 Notice of Proposed Rulemaking on Governance Requirements for

Derivatives Clearing Organizations: The Commission is proposing several

amendments to Regulation 39.24 that enhance the Commission’s DCO
governance standards and are consistent with recommendations from the Central

Counterparty Risk and Governance Subcommittee of the Market Risk Advisory
Committee. Specifically, the proposed regulations require a DCO to establish

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