Page 12 - 期貨和衍生品行業監管動態（2024年5月）
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期貨和衍生品行業監管動態
also revise certain Part 23 regulations regarding the financial reporting requirements
of SDs, including the required timing of certain notifications, the process for approval
of subordinated debt for capital, and the information requested on financial reporting
forms to conform to the rules. The amendments are intended to make it easier for SDs
and MSPs to comply with the CFTC’s financial reporting obligations and demonstrate
compliance with minimum capital requirements.
The effective date of the final rule is 30 days from the date of publication in the
Federal Register. To allow for sufficient time to effectuate the reporting and
notification amendments, the final rule has a compliance date of September 30, 2024,
and will apply to all financial reports with an“as of”reporting date of September 30,
2024, or later.
https://www.cftc.gov/PressRoom/PressReleases/8901-24
2. 美國商品期貨交易委員會批準關于期貨和期權大戶報告的最終規則（2024
年 4 月 30 日）
美國商品期貨交易委員會（CFTC）宣布通過了關于修訂期貨和期權大額交
易報告規定的最終規則。這些規定要求期貨傭金商、結算會員、外國經紀商和特
定報告市場（報告公司）向委員會報告最大的期貨和期權交易者的持倉信息。
最終規則用指定適用的數據元素的附錄替換了目前在 CFTC 聯邦法規中列
舉的數據元素，還規定出版單獨的第 17 部分指南，該指南規定了報告的表格和
方式。此外，最終規則取消了 CFTC 法規中過時的 80 字符數據提交標準，并代
之以第 17 部分指南中所述的 FIXML 標準。
“這些修訂將使 CFTC 的大戶持倉報告現代化，并將其與 CFTC 聯邦法規中
規定的其他報告結構保持一致。”市場監管部主任 Vince McGonagle 說。
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