Page 20 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2025年7月）
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期貨和衍生品行業(yè)監(jiān)管動態(tài)
部決定對涉及互換交易數(shù)據(jù)報(bào)告和記錄保存規(guī)定的事項(xiàng)采取了不行動立場。
根據(jù)該不行動函的條款，各相關(guān)部門將不會建議 CFTC 對 CME 或其參與者
因未遵守特定互換交易記錄保存的規(guī)定，以及未將依據(jù) CME 規(guī)則執(zhí)行或受其規(guī)
則約束的二元期權(quán)交易數(shù)據(jù)報(bào)告至互換交易報(bào)告庫的行為采取執(zhí)法措施。該不行
動函僅適用于極為少數(shù)的情形，并且其性質(zhì)類似于針對其他處于相似情況的指定
合約市場和衍生品清算機(jī)構(gòu)的不行動函。
CFTC Staff Issues No-Action Letter Regarding Event Contracts (2025/7/23)
The Commodity Futures Trading Commission’s Division of Market Oversight
and the Division of Clearing and Risk today announced they have taken a no-action
position regarding swap data reporting and recordkeeping regulations in response to a
request from the Chicago Mercantile Exchange Inc., a designated contract market and
derivatives clearing organization.
The divisions will not recommend the CFTC initiate an enforcement action
against CME or its participants for failure to comply with certain swap-related
recordkeeping requirements and for failure to report to swap data repositories data
associated with binary option transactions executed on or subject to the rules of CME,
subject to the terms of the no-action letter. The no-action letter applies only in narrow
circumstances and is comparable to no-action letters issued for other similarly situated
designated contract markets and derivatives clearing organizations.
https://www.cftc.gov/PressRoom/PressReleases/9099-25
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