Page 597 - 《期货和衍生品行业监管动态》（2022年合集）
P. 597
期货和衍生品行业监管动态
On February 25, 2019, the CFTC issued a statement in conjunction with the
Bank of England, including the Prudential Regulation Authority, and the Financial
Conduct Authority to provide regulatory certainty on the continuity of derivatives
trading and clearing activities between the UK and U.S. In the joint statement, the
CFTC maintained the CFTC would work to replicate the relevant EU substituted
compliance and exemption orders, including the CEA section 5h(g) order.
CFTC staff issued CFTC Staff Letter 21-24 on November 17, 2021, which
maintains the status quo of the EU order of exemption for UK MTFs and OTFs after
the expiration of the Brexit Transition Period while the CFTC works on a
determination for UK MTFs and OTFs under CEA Section 5h(g). The CFTC will
continue to maintain the status quo of the EU order of exemption for UK MTFs and
OTFs until it completes its work on a determination for UK MTFs and OTFs under
CEA section 5h(g).
Despite being removed from the EU order of exemption, UK MTFs and OTFs,
listed in Appendix A of CFTC Staff Letter 21-24, are still covered by the no-action
position in CFTC Staff Letter 21-24.
https://www.cftc.gov/PressRoom/PressReleases/8617-22
4. 美国商品期货交易委员会认可英国金融行为监管局在跨境执法行动方面提供
的合作（2022 年 11 月 3 日）
美国商品期货交易委员会（CFTC）对英国金融行为监管局（UK FCA）所
采取的执法行动表示认可与感谢，这些行动表明了跨境合作对于确保美国市场及
海外市场诚信是至关重要的。
在对美国一家衍生品交易所（CFTC 指定合约市场）的某个原油交易进行调
查期间，FCA 代表 CFTC 展开全力追查并从位于英国的交易员处获得了信息。
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