Page 604 - 《期货和衍生品行业监管动态》（2022年合集）
P. 604
期货和衍生品行业监管动态
Today, the Commodity Futures Trading Commission voted to advance two
proposals. The first is a proposed rule on reporting and information requirements for
derivatives clearing organizations (DCOs). The second is a proposed order and a
request for comment on an application for a capital comparability determination
submitted on behalf of nonbank swap dealers subject to regulation by the Mexican
Comision Nacional Bancaria y de Valores.
Notice of Proposed Rulemaking on Reporting and Information
Requirements for Derivatives Clearing Organizations: The Commodity
Futures Trading Commission (CFTC) is proposing to amend certain
reporting and information regulations applicable to derivatives clearing
organizations (DCOs). These proposed amendments would, among other
things, update information requirements associated with commingling
customer funds and positions in futures and swaps in the same account,
address certain systemsrelated reporting obligations in§39.18(g) regarding
exceptional events, revise certain daily and event-specific reporting
requirements in§39.19(c), and include in an appendix the fields that a DCO is
required to provide on a daily basis under existing§39.19(c)(1). In addition,
the Commission is proposing to amend certain delegation provisions
in§140.94.
Notice of Proposed Order and Request for Comment on an
Application for a Capital Comparability Determination Submitted on behalf
of Nonbank Swap Dealers subject to Regulation by the Mexican Comision
Nacional Bancaria y de Valores: The Commodity Futures Trading
Commission is soliciting public comment on a joint request submitted by
Morgan Stanley Mexico, Casa de Bolsa, S.A. de C.V., Goldman Sachs
Mexico, Casa de Bolsa, S.A. de C.V., and Casa de Bolsa Finamex, S.A. de
C.V. requesting that the Commission determine that the capital and financial
reporting laws and regulations of Mexico applicable to CFTC-registered
swap dealers organized and domiciled in Mexico, and licensed with the
521
回 到 首 页 回 到 目 录
