Page 53 - 期货和衍生品行业监管动态（2023年4月）

期货和衍生品行业监管动态

注：

1. 名单上的机构须符合以下两项标准：

(a) 属于在金融稳定委员会（Financial Stability Board）刊发的全球具有系统
重要性银行名单上的集团，或属于在交易商集团名单上的集团，而后者曾向场外

衍生品监事组织（OTC Derivatives Supervisors Group）承诺会与中央对手方、基

础设施提供者及全球监管机构合作，持续推进全球场外衍生品市场结构改善；及

(b) 是在美国、欧洲、日本及香港为利率互换提供清算服务的最大规模中央

对手方的清算会员。

2. 清算制度中引入了金融服务提供者的概念，以识别在香港以外地区的主要

场外衍生品交易商。金融服务提供者与订明主体（即认可机构、核准货币经纪或

持牌法团）之间进行的某些交易需要进行中央清算。

Consultation on Annual Update to Financial Services Providers List under OTC

Derivatives Regulatory Regime (2023/4/21)

The Hong Kong Monetary Authority (HKMA) and Securities and Futures

Commission (SFC) today (21 April) issued a joint consultation on the annual update to

the list of Financial Services Providers (Note 1) under the over-the-counter (OTC)

derivatives clearing regime (Note 2). Proposed changes to the list include adding and

removing one entity, respectively, and updating the name of one entity.

Interested parties are invited to submit comments to the HKMA or SFC by 19 May

2023. The joint consultation paper can be downloaded from the websites of the HKMA

or SFC.

Notes:

1. The list includes entities that meet the following two criteria:

(a) They belong to a group of companies appearing on the list of global

systemically important banks published by the Financial Stability Board, or on the list

of dealer groups which undertook to the OTC Derivatives Supervisors Group to work

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