Page 706 - 《期货和衍生品行业监管动态》（2022年合集）
P. 706
期货和衍生品行业监管动态
for Derivatives Clearing Organizations (2022/12/19)
The Commodity Futures Trading Commission’s Division of Clearing and Risk
(DCR) announced today it is extending a no-action letter regarding daily reporting
requirements applicable to registered derivatives clearing organizations (DCOs) in
CFTC Regulation 39.19.
On December 15, 2022, the CFTC published a notice of proposed rulemaking on
DCO reporting that would remove from the CFTC’s DCO reporting regulations the
requirement for DCOs to report to the CFTC, on a daily basis, variation margin and
cash flow information by individual customer account. The requirement was adopted
in 2020.
In response to an industry request, DCR issued a time-limited no-action letter,
CFTC Staff Letter No. 21-01. The letter was extended once in CFTC Staff Letter
No. 21-31 and is set to expire on January 27, 2023. The no-action letter issued today
extends the expiration of the no-action letter to the earlier of one year from today, or
the date the Commission finalizes the proposed rule.
https://www.cftc.gov/PressRoom/PressReleases/8641-22
11. 美国商品期货交易委员会命令明尼苏达州期货佣金商就其违反反洗钱、风险
管理、记录保存和监督要求的行为支付 650 万美元（2022 年 12 月 20 日）
美国商品期货交易委员会（CFTC）宣布，其已签发行政令，对明尼苏达州
因弗格罗夫高地的注册期货佣金商（FCM）CHS Hedging LLC 提起诉讼并达成
和解，该公司违反了反洗钱（AML）、风险管理、记录保存和监督要求等规定。
这些违规行为主要是由于 CHS Hedging 未能实施一套健全的反洗钱计划，特别
是未将其适用于一名客户所控制的期货和期权交易账户。此外，CHS Hedging 未
能对该客户实施基于风险的交易持仓限额措施。
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