Page 376 - 《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

proposed rule would advance the policy objectives of the Dodd-Frank Act by
establishing new requirements for policies and procedures that require such clearing

agencies to identify, mitigate, or eliminate conflicts of interest and document those

actions.

If adopted, the proposed rules would increase transparency of the

decision-making process on clearing agency boards and committees and improve the

alignment of incentives between clearing agency participants and owners. In

particular, the proposed rule would reduce conflicts of interest, increase the role of

independent directors in board decision-making processes, and help promote fair

representation of owners and participants in the selection of directors.

The Commission previously proposed, but did not adopt, rules regarding clearing

agency governance in two separate releases between 2010 and 2011: proposed
Regulation MC, proposed Rule 17Ad-25, and proposed Rule 17Ad-26. Given the

multiple changes that the Commission has made to its regulatory framework for
clearing agencies in the interim, the Commission is withdrawing these previously

proposed rules.

The proposing release will be published on SEC.gov and in the Federal Register.

The public comment period will remain open for 60 days following publication of the

proposing release on the SEC’s website or 30 days following publication of the

proposing release in the Federal Register, whichever period is longer.

https://www.sec.gov/news/press-release/2022-138

7. 美国商品期货交易委员会批准关于修订 PF 表格的联合提案（2022 年 8 月 10

日）

根据 2010 年《多德-弗兰克华尔街改革和消费者保护法案》（Dodd-Frank Wall

Street Reform and Consumer Protection Act）的要求，美国商品期货交易委员会

321
回 到 首 页 回 到 目 录