Page 519 - 《期货和衍生品行业监管动态》（2022年合集）
P. 519
期货和衍生品行业监管动态
交易的更正数据子集。总的来说，这 14 个问题导致 BGCD 在数百个交易日未能
报告或准确报告（包括少报和多报）涉及各种产品（利率、外汇、信用和权益）
的 16000 多笔互换交易。
行政令还查明，BGCD 在报告互换交易和识别报告问题方面的流程和程序存
在缺陷。因此，BGCD 未及时发现其中大多数的报告问题。具体而言，有一半以
上的 BGCD 报告问题在 8 个月或更长时间内都不为人所知，其中有两个问题超
过 4 年都未被发现（也未被纠正）。此外，根据行政令查明，这些持续和反复出
现的问题表明，BGCD 获取并向公众和 CFTC 传递准确完整的交易信息的能力是
不足的。行政令还查明，BGCD 明知其缺乏将报告和 SEF 的交易活动进行核对
的程序，但未及时建立和实施核对程序或其他政策和程序，以大幅减少（如果不
能消除）这些报告和发布错误。
CFTC Orders Swap Execution Facility to Pay $1.9 Million for Swap Reporting
and Core Principle Violations (2022/9/30)
The Commodity Futures Trading Commission today issued an order
simultaneously filing and settling charges against BGC Derivative Markets, L.P.
(BGCD), a swap execution facility (SEF), for failing to report or accurately report
thousands of swap transactions to the CFTC, a swap data repository (SDR), or the
public; failing to timely correct reporting errors; and violating SEF Core Principles.
The order requires BGCD to cease and desist from further violations, pay a $1.9
million civil monetary penalty, and to comply with specified undertakings—including
conducting a comprehensive review of its swaps reporting program and implementing
a reconciliation process for transactions occurring on and reported by the SEF. The
order further requires BGCD to submit a written report to the CFTC in one year. In
the report, BGCD’s Chief Compliance Officer and Chief Executive Officer must
certify that BGCD’s reconciliation process and compliance program are reasonably
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