Page 387 - 《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

As part of the capital and financial reporting requirements for nonbank SDs, the
Commission adopted a substituted compliance framework that permits covered

nonbank SDs to rely on compliance with home country capital and financial reporting

requirements in lieu of meeting all or parts of the Commission’s capital adequacy and

financial reporting requirements, provided the Commission finds the home country

requirements comparable to the CFTC’s requirements.

Through CFTC Staff Letter No. 22-10, issued today, CFTC staff is extending a

no-action position to provisionally-registered nonbank SDs domiciled in Japan,

Mexico, the United Kingdom, and the European Union, conditioned upon the

nonbank SDs remaining in compliance with existing home-country capital and

financial reporting requirements and submitting certain financial reporting

information to the Commission.

The Commission recently published for public comment a proposed substituted

compliance determination for nonbank SDs domiciled in Japan and continues to
engage with foreign counterparts on the review of other comparability requests. MPD

is extending the no-action position previously issued in Staff Letter 21-20 to provide

regulatory certainty to nonbank SDs that are the subject of pending capital

comparability applications.

Today’s no-action letter was issued in response to a joint request received from

the Securities Industry and Financial Markets Association, the Institute of

International Bankers, and the International Swaps and Derivatives Association on

behalf of their respective non-bank SD members who would otherwise be required to

comply with the Commission’s capital and financial reporting requirements on

October 6, 2022. The no-action position will expire on the earlier of October 1, 2024

or if the Commission issues a final Capital Comparability Determination with respect

to each jurisdiction.

https://www.cftc.gov/PressRoom/PressReleases/8575-22

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