Page 445 - 《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
该函载明，TAIFEX 在未按照《美国商品交易法》（CEA）的要求注册为衍
生品清算机构（DCO）的前提下，如为其清算会员自营交易提供互换清算服务
且该清算会员是美国主体或美国主体的关联机构，DCR 将不会建议 CFTC 对其
采取执法行动。
该不行动函的到期日以下列时间较早者为准：2023 年 9 月 15 日或 CFTC 根
据 CEA 第 5b（h）节豁免 TAIFEX 注册为 DCO 的日期。
CFTC Staff Issues No-Action Letter to Taiwan Futures Exchange (2022/9/19)
The Commodity Futures Trading Commission’s Division of Clearing and Risk
today announced it has issued a time-limited no-action letter to Taiwan Futures
Exchange (TAIFEX).
The letter states DCR will not recommend the CFTC take enforcement action
against TAIFEX if it clears swaps for the proprietary trades of TAIFEX clearing
members that are U.S. persons or affiliates of U.S. persons without registering as a
derivatives clearing organization (DCO) as required by the Commodity Exchange Act
(CEA).
The letter is effective until the earlier of September 15, 2023, or the date on
which the CFTC exempts TAIFEX from registration as a DCO under Section 5b(h) of
the CEA.
https://www.cftc.gov/PressRoom/PressReleases/8587-22
7. 美国商品期货交易委员会对 bZeroX, LLC 及其创始人处以 25 万美元罚款并
指控其继受人 Ooki DAO 提供非法场外数字资产交易、违反注册规定以及未遵
守银行保密法的要求
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