Page 375 - 《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

少利益冲突，提高独立董事在董事会决策过程中的作用，并有助于促进董事选任

程序中所有者和参与者得以公平的参与。

SEC 此前在 2010 年和 2011 年间两次发布了有关清算机构治理的规则草案，

即 MC 法规草案、17Ad-25 和 17Ad-26 规则草案，但都未获得通过。鉴于 SEC

在此期间对清算机构的监管框架进行了多次修改，SEC 正在撤回这些之前提出的

草案。

规则草案将在 SEC 官网和《联邦公报》上发布。征求意见期为 SEC 官网公

布之日起 60 日或在《联邦公报》公布之日起 30 日内（以时间较长者为准）。

SEC Proposes Rules to Improve Clearing Agency Governance and to Mitigate
Conflicts of Interest (2022/8/8)

The Securities and Exchange Commission today proposed new rules to help

improve governance arrangements across all registered clearing agencies by reducing

the likelihood that conflicts of interest may influence the board of directors or

equivalent governing body of a registered clearing agency.

"I was pleased to support this proposal because, if adopted, it would enhance

governance standards for all registered clearinghouses, particularly with regards to

conflicts of interest," said SEC Chair Gary Gensler. "I think these rules would help to

build more transparent and reliable clearinghouses. This in turn would help ensure our

markets are more resilient, protecting investors and building trust in our markets."

The proposed rule would establish new governance requirements on board

composition, independent directors, nominating committees, and risk management

committees. The proposed rule would also require new policies and procedures

regarding conflicts of interest, board obligations to oversee relationships with service
providers for critical services, and a board obligation to consider stakeholder

viewpoints. As it relates to clearing agencies that clear security-based swaps, the

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