Page 94 - 《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

PRA 和 FCA 还将通过其监督程序，与在市场上占据重要地位的公司进一步

接触，以评估他们在此期间的风险管理和治理的有效性。

围绕暂停和恢复交易发生的事件，凸显了近期一份 LME 关于市场结构的讨

论文件中所提出的问题，特别是透明度在 LME 和相关市场的作用。FCA 与 LME

就文件中的建议进行了一段时间的讨论，并希望 LME 仔细考虑近期事件将如何

影响其塑造未来市场结构。

此外，LME 承认通过任命更多的独立董事强化治理所带来的优势，现在将

根据其董事会的能力和组成情况，评估实现这一目标的最佳方式。

Joint Statement from UK Financial Regulation Authorities on London Metal

Exchange and LME Clear （2022/4/4）

On Tuesday 8 March 2022, the London Metal Exchange (the LME) suspended

nickel trading, having concluded a disorderly market had arisen. Nickel trading

resumed on the LME on Wednesday 16 March. The suspension occurred amid

challenging commodity market conditions following Russia’s invasion of Ukraine.

The FCA is responsible for supervision of the LME as a recognised investment

exchange, while the Bank of England (the Bank) is responsible for supervision of

LME Clear as a central counterparty. The FCA and the PRA are responsible for the

supervision of several regulated banks and investment firms who participate in the

LME’s markets.

The FCA, Bank and PRA have been focused on the orderly resumption of

trading in nickel. Now that trading has resumed, the supervisory authorities expect

LME and LME Clear to remain vigilant until the situation is fully resolved.

However, after a period of stability, the FCA intends to review the LME’s
approach to managing the suspension and resumption of the market in nickel to

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