Page 689 - 《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

In addition, DMO is amending its no-action position to include an additional
multilateral trading facility (MTF) authorized in the UK. The no-action position was

also amended to remove an MTF and an organised trading facility (OTF) because the

facilities are no longer in operation.

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 the United States. [See CFTC

Press Release No. 7876-19]

This letter extends the positions previously announced in CFTC Staff Letter No.

21-24. It seeks to maintain the regulatory certainty established when the CFTC

originally acted to issue EU comparability determinations and exemptive orders for
certain EU entities. CFTC staff continues to believe that maintaining these no action

positions is proper while the CFTC works with the relevant UK authorities to analyze
relevant UK law and, where appropriate, issue UK comparability determinations and

exemptive orders for certain UK entities.

https://www.cftc.gov/PressRoom/PressReleases/8629-22

2. 美国商品期货交易委员会工作人员发布不行动函，对澳大利亚许可金融市场

某些互换交易的工作函进行补充（2022 年 12 月 2 日）

美国商品期货交易委员会（CFTC）市场监管部（DMO）发布了一封补充工

作函，修改了 CFTC 工作人员第 15-29、16-27 号函中关于 CFTC 联邦法规第 43、

45 部分规定的某些互换交易报告要求采取的不行动立场。补充工作函适用于由

澳大利亚证券和投资委员会（Australian Securities & Investments Commission）监

管的合格澳大利亚许可金融市场。

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