Page 691 - 《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

该工作人员建议函提醒非美国互换交易商有义务遵守相关可比性决定的内

容，向 CFTC 提供符合其境外司法管辖区标准的年度合规报告。此外，还提醒非

美国互换交易商可以选择通过备制、认证并向 CFTC 提交完全符合 CFTC 联邦法

规第 3.3(e)和(f)条所规定内容和报送要求的 CCO 年度报告，而不再依赖适用的

可比性决定。

CFTC Staff Issues Advisory on Non-U.S. Swap Dealer Chief Compliance Officer

Annual Reports (2022/12/2)

The Commodity Futures Trading Commission’s Market Participants Division

today issued a staff advisory to non-U.S. swap dealers (SDs) that rely on a CFTC

entity-level comparability determination (comparability determination) for purposes

of complying with the chief compliance officer annual report (CCO Annual Report)
filing required by CFTC Regulation 3.3.

The staff advisory reminds non-U.S. SDs of their obligation to comply with the

terms of the relevant comparability determination by furnishing the CFTC with the

annual compliance report that is required under the standards of their foreign

jurisdiction. The advisory also reminds non-U.S. SDs that, in lieu of relying on an

applicable comparability determination, they may choose instead to prepare, certify,

and furnish to the CFTC a CCO Annual Report that is in full compliance with the

content and delivery requirements of CFTC Regulations 3.3(e) and (f).

https://www.cftc.gov/PressRoom/PressReleases/8631-22

4. 美国商品期货交易委员会工作人员针对通过衍生品清算机构进行互换交易清

算的交易对手方的某些互换交易报告义务发布不行动函，这类衍生品清算机构

依据豁免令或不行动函开展业务（2022 年 12 月 2 日）

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