Page 95 - 《期货和衍生品行业监管动态》（2022年合集）
P. 95
期货和衍生品行业监管动态
determine what lessons might be learned in relation to the LME’s governance and
market oversight arrangements.
The Bank will similarly undertake a review into the operation of LME Clear
during the period to determine whether any lessons might be learned in relation to its
governance and risk management.
Both the FCA and the Bank intend that these reviews will be assisted by the
appointment of skilled persons to report on the matter, under section 166 of the
Financial Services and Markets Act 2000. The FCA and the Bank will consider these
reports in determining whether further action should be taken and will announce next
steps in due course.
The PRA and FCA will also be engaging further, through their supervisory
processes, with firms who held significant positions in the market to assess the
effectiveness of their risk management and governance during the period.
Events around the suspension and resumption of trading have underlined
questions raised in a recent LME Discussion Paper on Market Structure, particularly
the role of transparency in the LME and related markets. The FCA has been in
discussion with the LME on its proposals for some time and expects the LME to
consider carefully how recent events should shape its future approach on market
structure.
Additionally, the LME has agreed the benefits of appointing additional
independent directors to strengthen its governance and will now review the best way
to achieve this in the context of the skills and composition of its board.
https://www.fca.org.uk/news/statements/uk-financial-regulation-authorities-london-m
etal-exchange-lme-clear
10. 英国金融行为监管局推出“三年战略”以改进政策效果 （2022 年 4 月 7 日）
回 到 首 页 75 回 到 目 录
