Page 593 - 《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

节的标准，可以豁免 SEF 在 CFTC 进行注册。根据该行政令，MAS 有权为新加

坡境内符合特定法律要求的设施申请此类豁免。MAS 还同意，在 AEs 或 RMOs

不再满足这些要求时及时通知 CFTC，并申请取消对不符合要求的设施的豁免。

此次修订使获得豁免的 AEs 和 RMOs 总数增至 16 家。

CFTC Exempts Additional Singapore Recognized Market Operators from SEF

Registration Requirements (2022/10/26)

The Commodity Futures Trading Commission today announced it has

unanimously approved an amended order that exempts three Recognized Market

Operators (RMOs) authorized within Singapore from CFTC swap execution facility

(SEF) registration requirements. The exempted RMOs are Bloomberg Tradebook

Singapore Pte Ltd, SGX FX Markets Pte. Ltd., and Synoption Pte. Ltd.

Section 5h(g) of the Commodity Exchange Act (CEA) provides the CFTC may
grant an exemption if it finds that a foreign SEF is subject to comparable,

comprehensive supervision and regulation by the appropriate governmental

authorities in the facility’s home country. The CFTC may likewise revoke exempt

status when a facility is no longer authorized and/or in good standing in its home

country.

On March 13, 2019, the CFTC issued an order determining that the Monetary

Authority of Singapore (MAS) regulatory framework for Approved Exchanges (AEs)

and RMOs satisfies the standard in CEA section 5h(g) to exempt a SEF from

registration with the CFTC. Under the order, MAS is empowered, on an ongoing basis,

to request such exemption for facilities meeting certain legal requirements within

Singapore. MAS also agreed to notify the CFTC when an AE or RMO no longer

satisfies those requirements, and to request the non-compliant facility be removed
from exempt status.

This amendment brings the total number of exempted AEs and RMOs to 16.

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